Job Description

The holder of this position is expected to contribute at a senior level to the Legal & Compliance team, including taking ownership and carriage of matters.

The holder of the position has the responsibility, together with the rest of

the Legal & Compliance team, for ensuring:

• Cboe Australia discharges its statutory obligations as the holder of an Australian Market Licence;
• Cboe operates a market with integrity and participants adhere to the operating rules;
• The compliance function operates in a way that is responsive to daily operational matters, while also engaging pro-actively with participants to promote awareness and understanding of regulatory standards expected on the Cboe Australia market;
• Any key person risks in the Compliance team are addressed through contingency planning and implementation.

Main Responsibilities:

Contribute at a senior level to ensure the compliance framework and necessary procedures are implemented. This may include:

• the legal analysis of Cboe obligations,
• internal and external compliance monitoring,
• working with internal colleagues to ensure the completion of the key submissions to ASIC including the quarterly questionnaire and annual internal assessment under s792F,
• reporting on and the investigation of participant conduct including, where required, taking enforcement action;
• responding to ASIC queries as and when required;
• providing regular reports on compliance activities and escalate material issues as required;
• Initiating and conducting participant disciplinary matters

Contribute at a senior level to regulatory matters. This may include:

• Analysing the legal and policy implications of proposed regulatory developments that may impact upon Cboe.
• Advising on development of new Cboe products.

Contribute at a senior level to the continuous improvement of the Legal & Compliance team and its key relationships. This includes:

• Staying abreast of developments in financial markets and financial markets regulation globally.
• Making recommendations to update and enhance Cboe Australia’s compliance framework on an ongoing basis.
• Making suggestions to improve business processes.
• Building relationships with industry stakeholders.
• Liaison with participants, their legal advisers, regulators and internal stakeholders.

Work as appropriate on regulatory and legal matters across a range of areas including financial services, corporate, commercial, competition, technology, intellectual property, information security, privacy, marketing.

Skills & Experience:

• Legal Degree and entitled to practice

• Regulatory registrations and all appropriate industry qualifications

• The individual will have demonstrated:

  • a record of success in legal and/or regulatory function in a financial services environment;
  • ability to work autonomously and deliver at a senior level.

• Experience operating at a senior level in
  • financial markets, including the operational, compliance and regulatory issues arising in those markets;
  • dealing with regulators, lawyers, clearing houses and exchanges demonstrating the ability to leverage personal as well as professional associates when developing the local business;
  • the Australian business and regulatory environment;
  • implementing corporate governance and compliance practices.

• It is preferred the candidate has experience working within an international environment.
• Resolves and/or escalates issues in a timely fashion.
• Understands how to communicate difficult/sensitive information tactfully
• Ability to work unsupervised
• Strong integrity, disciplined work ethic, must be a self-starter
• Excellent self-organisational, interpersonal and communication skills
• Ability to work with diverse personalities, cultures and business practices inherent to an international operation
• Strong team player prepared to get involved in multiple tasks with the ability to show initiative, be flexible, adaptable and comfortable in a fast-paced environment
• An aptitude for working in assisting others to achieve individual goals that reflect positively on the L&C team.

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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.