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Sr Regulatory Advisor (Flex/Hybrid)

ErisX

ErisX

Legal
Multiple locations
Posted on Saturday, February 17, 2024

Job Description

Position Summary:

The Regulatory Advisor and Interpretations Department (RAID) is responsible for various functions within the Cboe Regulatory Division (Division) including, but not limited to, coordinating communications with the SEC, the CFTC and other government agencies; evaluating the impact of proposed rule filings and circulars on regulatory programs; developing and maintaining Division policies and procedures; overseeing Cboe’s regulatory interpretations program through which Members seek interpretations of Cboe Rules; and organizing and directing the Division’s education and training program.

This position is primarily responsible for the design, development, delivery and maintenance of course content for the Cboe U.S. Regulatory Division staff education and training programs, and supports various education and training initiatives. The position also communicates changes in rules and procedures and responds to general interpretation inquiries. The incumbent is expected to have advanced knowledge of securities and futures industry rules and regulations, and technical training and curriculum design skills. The position will report directly to the Chief Regulatory Advisor (CRA) and will work closely with the Regulatory Education, Training and Compliance Team Manager. The position will also collaborate with Division managers to facilitate effective content development and on-time delivery.

Job Functions:

Performs a combination of the following:

  • Provide input on overall curriculum design that meets the current needs of Division staff.
  • Develop on-demand and live-streaming course content, modules, job aids, and assessments, and other learning materials. This would include researching and conducting analysis of the specific topic, collaborating with various teams to assess training needs, leveraging subject matter resources, identifying learning objectives, creating and maintaining course content, analyzing assessment results, and collecting feedback from stakeholders.
  • Serve as lead writer and editor of learning materials. Ensure that delivered content is completed timely, is of a high level of quality and effectively conveys applicable rules and requirements, and that learning objectives and materials are appropriate for given topic and staff audience.
  • Perform regular review and updating of learning materials, as well as independently identify areas appropriate for training opportunities or clarification.
  • Oversee review of third-party courses to ensure appropriateness for inclusion in Division training curriculum.
  • Build and maintain an understanding of the regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative and examination techniques applicable to the Cboe-affiliated U.S. Securities Exchanges (BYX, BZX, C1, C2, EDGA and EDGX) and Futures Exchanges (CFE, Cboe SEF and Cboe Digital).
  • Monitor and evaluate the effect that rule changes, SEC and CFTC requirements, new product launches, systems enhancements and updated trading procedures may have on course content and other learning materials. Implement changes to ensure that materials are current and accurate.
  • Assist the CRA and Team Manager with the execution of multi-year learning plans. Periodically conduct education and training needs analysis and review of the plans to ensure appropriate inclusion of course content and other learning materials across the program. Ensure that plans and topical information are timely communicated.
  • Coordinate special projects, including future enhancements or changes related to the programs.
  • Lead rules-based change management program for assigned area of Regulatory Division, including process management and supervision of team Senwork-product.
  • Collaborate with internal and external subject matter experts to review, draft and/or revise assigned policies, procedures and a variety of other documentation for the Division. Take ownership of policies and procedures in assigned subject matter areas to identify gaps and take initiative to make edits or suggest program enhancements for those areas.
  • Support member firm associate registration and continuing education programs.
  • Draft or assist with the drafting and/or review of regulatory circulars and other educational materials related to rules and rule interpretations.
  • Interact directly with Members providing rule interpretations under the Division’s regulatory interpretations program. Prepare written analysis of questions presented and applicable rules and requirements.
  • Provide verbal and written responses concerning rule interpretations and applications, and other training topics.
  • Serve as a resource for Regulatory Division staff for questions related to certain areas of the rules or interpretive guidance and other training topics.
  • Take lead role in the preparation of routine responses to requests for information, such as those made by the SEC and the CFTC.
  • Perform other duties as assigned.

Knowledge, Skills and Abilities:

  • Knowledge of securities and futures industries, governing rules and regulations and practices. Knowledge of the following preferred: exchange regulatory requirements, member regulation and compliance programs, exchange data structures and regulatory design (including some systems elements).
  • Knowledge of adult education theories and teaching methodologies.
  • Passion for creating engaging, innovative, and effective learning solutions.
  • Excellent communication skills and proven ability to write clearly and effectively.
  • Strong leadership, project management and organizational skills, and ability to deal effectively with people, resolve issues, make decisions, and facilitate and produce results under tight timelines.
  • Ability to:
  • plan/prioritize work to meet objectives of multiple or competing priorities/projects; work concurrently on complex activities and tasks to accomplish goals; meet individual and/or team goals for high quality, on-time deliverables;
  • learn new information and concepts quickly and independently; take initiative to seek knowledge needed for the job or assignment;
  • evaluate, analyze, and summarize data and facts;
  • organize and express complex concepts clearly and understandably when speaking to individuals or groups or when conveying in written form;
  • be thorough and precise when accomplishing a task;
  • proof/edit for accuracy to consistently provide high quality work;
  • interact in a professional manner with internal and external contacts; maintain confidentiality; appropriately handle and communicate controversial or sensitive information; and
  • lead projects that involve multiple stakeholders, develop relationships and obtain cooperation or support of multiple departments or interests.

Education and Experience:

  • JD and eight (8) or more years of legal, compliance and/or regulatory experience in the securities and futures industries with progressive management responsibility or equivalent combination of education and experience.
  • Three (3) or more years of experience and/or education in teaching or developing education and training programs and course content for adult learners, or other compliance- or regulatory-based training experience.
  • Experience with operating and managing computerized training.
  • Experience using eLearning development tools (Articulate Storyline, etc.).
  • Proficient in MS Office software (PowerPoint, Word, Excel, Outlook).

Benefits and Perks

We value the total wellbeing of our people – including health, financial, personal and social wellness. We believe standard benefits like health insurance and fair pay are a given at any organization. Still, you should know we offer:

  • Fair and competitive salary and incentive compensation packages with an upside for overachievement
  • Generous paid time off, including vacation, personal days, sick days and annual community service days
  • Flexible, hybrid work environment, where you choose where and how you work
  • Health, dental and vision benefits, including access to telemedicine and mental health services
  • 2:1 401(k) match, up to 8% match immediately upon hire
  • Discounted Employee Stock Purchase Plan
  • Tax Savings Accounts for health, dependent and transportation
  • Employee referral bonus program
  • Volunteer opportunities to help you give back to your communities

Some of our employees’ favorite benefits and perks include:

  • Complimentary lunch, snacks and coffee in any Cboe office
  • Paid Tuition assistance and education opportunities
  • Generous charitable giving company match
  • Paid parental leave and fertility benefits
  • On-site gyms and discounts to other fitness centers

More About Cboe Global Markets

We’re reimagining the future of the workplace by focusing on what matters most, our people. Our journey is an inclusive one. We’re investing deeply in leadership programs and career development initiatives that ensure everyone has an equal chance to succeed. We celebrate the diversity in our communities, inside and out, and welcome new perspectives with equity, inclusion and belonging.

We work with purpose, solving problems with ingenuity, collaboration, and a lot of passion. We’re an engaged and excited team connecting markets across borders and embracing growth in all its forms to achieve incredible outcomes.

Learn more about life at Cboe on our website and LinkedIn.

Equal Employment Opportunity

We're proud to be an equal opportunity employer - and celebrate our employees’ differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status.

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Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.