Enforcement Counsel
ErisX
Job Description
Job Title: Enforcement Counsel
Building trusted markets —powered by our people.
Company Overview
At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting-edge trading, clearing and investment solutions to market participants around the world.
We’re building inclusive ways to support professional and personal development while strengthening the trust we’ve earned as a global market leader. Our teams are empowered to share ideas, actively pursue them and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. Our Associate Resource Groups champion diversity, equity and inclusion, giving associates a safe space to network, share ideas and create opportunities.
Location: Flex Hybrid in Chicago or Kansas City
Duties and Responsibilities: Performs a combination of the following duties according to departmental guidelines:
- Provide advice, legal research, and counsel as needed on investigation/examination enforcement matters for the Cboe exchanges.
- Interact with third-party service providers in connection with outstanding exams/investigations and enforcement matters.
- Supervise and monitor status and resolution of enforcement matters handled by third-party service providers.
- Present enforcement matters and recommendations to the Chief Enforcement Counsel and/or Chief Regulatory Officer for review and approval.
- Participate in settlement discussions and negotiations with opposing counsels.
- Collaborate with cross-functional business and legal team members and outside counsel.
- Communicate with other exchange regulatory personnel on cross-market investigations and enforcement matters.
- Assist in the development of regulatory investigations, including, but not limited to, case strategy, rule application and participation in investigative interviews, if necessary.
- Responsible for researching relevant precedent where necessary to ensure recommended sanction levels are appropriate.
- Assist Senior Enforcement Attorneys in representing the Cboe exchanges at disciplinary hearings conducted on behalf of the Cboe exchanges.
- Perform other duties as assigned.
Knowledge, Skills and Abilities:
- Must possess excellent written and oral communication skills and strong presentation skills.
- Demonstrated ability to influence and negotiate.
- Candidates should also be self-motivated and able to complete projects working independently as well as in team settings.
- Strong understanding of civil procedures.
Experience Required:
- Candidates should have minimum of 2 years of legal experience or similar industry experience
- Understanding of the financial services industry
- Excellent written and verbal communication skills
- Excellent drafting and negotiation skills
- Outstanding organizational skills and ability to manage multiple projects
Preferred:
- Previous employment at a regulatory agency (Securities and Exchange Commission or Commodity Futures Trading Commission), Self-Regulatory Organization and/or broker-dealer; litigation experience.
Education:
- Law Degree (JD) and license to practice law in Illinois or Kansas required
Benefits and Perks of working for Cboe Global Markets
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:
Medical Coverage
Prescription Drug Coverage
Additional Medical Benefit
Dental Coverage
Vision Coverage
Spending Accounts
Life and AD&D Insurance
Retirement Savings Plan
Employee Stock Purchase Plan (ESPP)
Voluntary & Additional Benefits
Paid Time Off
More About Cboe Global Markets
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, religion, sex, sexual orientation, gender identity, national origin, age and disability
#LI-JS1
#LI-HYBRID
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.
