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Senior Counsel

ErisX

ErisX

Software Engineering, Legal
Sydney, NSW, Australia
Posted on Wednesday, April 24, 2024

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.