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Corporate Compliance Manager (Cboe APAC)

ErisX

ErisX

Legal
Multiple locations
Posted on Thursday, March 28, 2024

Job Description

Position Summary:

The Cboe APAC Corporate Compliance Manager (“APAC Corporate Compliance Manager”) is a new role created to lead the corporate compliance function in the APAC region. The APAC Corporate Compliance Manager will further build a corporate compliance infrastructure in the APAC region by interacting with regional compliance counterparts and supporting corporate compliance initiatives to include establishing policies and procedures and industry standards. This role will report though and involve close collaboration with Cboe Global Markets Inc.’s (“CGM”) Compliance Department to facilitate consistent compliance standards and processes designed to mitigate risks and support ethical conduct.

Duties and Responsibilities:

The APAC Corporate Compliance Manager will perform the following tasks:

· Provide leadership and oversight of the corporate compliance function in the APAC region.

· Coordinate with regional compliance and CGM Compliance associates and develop relationships to foster collaboration and ensure global consistency.

· Lead CGM corporate compliance initiatives (e.g., policy and procedure development and maintenance) within the APAC region, following structure, standardization, and harmonization guidance from the CGM Policy Governance team.

· Support implementation of and adherence to written policies and procedures to facilitate compliance with relevant laws and regulations, and industry best practices.

· Perform compliance risk assessments to identify regulatory risks and evaluate the sufficiency of internal controls to mitigate identified risks.

· Assist with the development of compliance training, corporate compliance messaging, and compliance monitoring activities for the APAC region.

· Assist in review and monitoring of employee personal trading, outside business activities, electronic communications, and marketing materials.

· Support development of the global records management program and execution in the APAC region.

· Identify opportunities, establish action plans, and drive solutions to continuously improve the APAC region’s corporate compliance program.

· Review relevant laws, regulations, rules, guidance, and regulatory enforcement actions to identify new and changing requirements or emerging compliance risks within the corporate compliance scope.

· Independently plan and execute projects with the support of CGM Compliance Department and create deliverables within established timeframes.

· Establish and maintain collaborative relationships with key business, operational, legal, risk, and other personnel to support the exchange of information and bolster the APAC region’s culture of compliance.

· Prepare written reports for regarding APAC policies and procedures, compliance responsibilities, code of conduct adherence, best practices, and related training.

Work Experience:

· Minimum 5 years of experience in compliance, legal, or regulatory, in the financial industry with a focus on the APAC region.

Knowledge, Skills, and Abilities:

· Possesses strong critical thinking and investigative skills to effectively evaluate policies and procedures.

· Learns new information and concepts quickly and independently.

· Takes initiative to seek knowledge needed for the job or assignment.

· Highly motivated, diligent, and organized, with a strong attention to detail.

· Proactive strategic thinker who can quickly evaluate situations and make informed decisions and recommendations.

· Excellent written communication skills, including the ability to write clearly and concisely for multiple audiences.

· Collaborative and problem-solving approach to work, with strong interpersonal skills.

· Uses tact and diplomacy to serve as a liaison between the compliance function and business lines to ensure transparency, collaboration, and coordination.

· Skilled at organizing and prioritizing tasks and work assignments, completing multiple tasks simultaneously with accuracy and quality, and adjusting to shifting priorities.

· Strong understanding of APAC compliance rules and regulations, and ability to identify, track, and address the nuances of multiple regulatory requirements.

Education

· Bachelor's degree or equivalent required.

· Fluency in English required.

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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.