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Director, Assistant General Counsel, Corporate Listings

ErisX

ErisX

Legal
Multiple locations
Posted on Tuesday, March 5, 2024

Job Description

Position Summary:

Provide legal support to Cboe’s U.S. corporate listings business on Cboe BZX Exchange, Inc., including providing legal guidance and advice on numerous related issues related to listing standards and processes, managing regulatory filings, working closely with and advising regulatory staff, and otherwise advising the business team overseeing the U.S. corporate listings business.

Duties and Responsibilities:

Primary legal resource for the Company’s U.S. corporate listings business regulated by the SEC

  • Review and draft rules and rule filings to the Securities and Exchange Commission to explain the purpose and basis of those rules
  • Advise business on regulatory matters, including the timing and likelihood of rule filing approvals
  • Prepare complex comment letters, act as liaison between business and SEC in negotiating filings, and respond to inquiries from SEC staff
  • Research complex, multi-dimensional issues and provide written memoranda related to the legal issues pertaining to the services provided by the company
  • Responsible for steering any rule changes through internal corporate and external regulators’ review & approval processes
  • Counsel management by identifying issues, conducting research, and drafting documents
  • Respond to other general legal matters including those related to securities trading and corporate law issues
  • Review regulatory and informational publications
  • Monitor new domestic and international regulatory developments that directly or indirectly impact the Company
  • Provide legal counsel to the Company in connection with regulatory exams, inspections, and other matters
  • Other legal support for company activities

Qualifications:

  • Bachelor's Degree and Juris Doctorate required (from an accredited institution)
  • Member of applicable state bar
  • 8+ years of experience working at a corporation (preferably a U.S. securities exchange) or law firm, with a specialty related to capital markets, public offerings and public company requirements, securities exchange regulations, and/or other securities regulatory matters or related fields of law
  • Computer proficiency in Microsoft Office Suite applications including Word, PowerPoint, Excel and Outlook, as well as document management and other office technologies.

Knowledge, Skills, and Abilities:

  • Must be politically aware and able to develop business-led solutions while driving the risk management agenda
  • Ability to effectively evaluate regulatory requirements, understand their impact on the business, and develop creative solutions
  • Highly motivated, strategic, detail-oriented with the ability to pro-actively organize a heavy workload and demonstrate excellent analytical abilities

As required by the New York City Human Rights Law, Cboe provides a reasonable range of minimum base salary for roles that may be performed in New York City. Actual compensation is influenced by a wide array of factors including but not limited to geographic location, skill set, level of experience, etc. For New York City only, the range of starting base salary for this role is $172,000-$283,000. Additional incentive compensation and benefits may be available.

More About Cboe

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.