Counsel - Regulatory



Chicago, IL, USA
Posted on Thursday, May 9, 2024

Job Description

Position Summary:

Provide legal support to Cboe’s U.S. options and equities exchanges regulated by the SEC, including managing regulatory filings, working closely with and advising regulatory staff, providing legal guidance and advice on numerous issues, with a focus on those related to Cboe’s market data and access services business line and otherwise advising the business team overseeing the U.S. options and equities business lines as needed.

Duties and Responsibilities:

Legal resource for the Company’s U.S. options and equities business lines regulated by the SEC, with focused support of Cboe’s market data and access services business line.

  • 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
  • Review regulatory and informational publications
  • Provide legal counsel to the Company in connection with regulatory exams, inspections, and other matters
  • Assist in providing legal support relating to governance and regulatory oversight matters and to subsidiary Board committees that address these matters.
  • Other legal support for company activities


  • Bachelor's Degree and Juris Doctorate required (from an accredited institution)
  • Member of applicable state bar
  • 3+ years of experience working at a corporation (preferably a U.S. securities exchange, the SEC or CFTC) or law firm, with a specialty related to securities exchange regulations, and/or other securities regulatory matters or related fields of law preferred
  • 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:

  • Experience in drafting exchange rule filings, in addressing exchange registration and regulatory matters is preferred.
  • 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

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 associates’ 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

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 associates' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status


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.