Sr Specialist, CCUS Compliance

Building trusted markets — powered by our people 

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 meaningful 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. We strive to provide employees a safe space to network, share ideas and create opportunities.  

To support strong partnership and team connection, this role follows a four day in office work model.

Location Overview

Cboe HQ is located in the historic Old Post Office district, it’s a landmark that blends classic architecture with modern amenities. The building features expansive spaces with high ceilings and large windows, offering an abundance of natural light and panoramic views of the city skyline and the Chicago River.

With its prime location in the heart of downtown, the OPO Building provides easy access to major transportation hubs, including Union Station and multiple CTA lines, making it convenient for commuters. The building is home to a variety of amenities, including restaurants, a fitness center, and collaborative workspaces, creating a vibrant and dynamic work environment in one of Chicago's most iconic areas.

The Compliance team is hiring a Senior Specialist, Cboe Clear US (“CCUS”) Compliance. 

Cboe Clear US is a clearinghouse registered with the Commodity Futures Trading Commission (CFTC) as a Derivatives Clearing Organization (DCO) and is applying to the Securities and Exchange Commission (SEC) to become a Covered Clearing Agency.  As a Senior Specialist, CCUS Compliance, you will report directly to the Director, CCUS Compliance. You will work with cross-functional teams, including business, risk, operations, technology, and legal, to support the continued development of a strong compliance program through regulatory analysis, policy and procedure development, control enhancement, issue tracking, and regulatory examination and inquiry response. The ideal candidate will bring a strong understanding of clearing compliance, and the ability to proactively manage multiple priorities in a dynamic regulatory environment. 

Your responsibilities, under the direction of the Director, CCUS Compliance, will include: 

• Analyze and draft policies and procedures, and provide and implement recommendations to address gaps, enhance controls, and improve effectiveness.  

• Effectively communicate with CCUS management including CCUS designated committees, CCUS Regulatory Oversight Committee, and the Board of Director’s about compliance related matters impacting CCUS. Communications including oral and written presentations including preparation and review of compliance materials submitted to the Board of Directors and the committees.   

• Draft and submit CCUS compliance-related reports and other regulatory filings to regulatory authorities, including market disruption notices, system incident reports, system change filings, and annual compliance reports. 

• Coordinate and draft timely responses to internal and external audits, and to SEC and CFTC inquiries and examinations. 

• Assist in tracking regulatory commitments, corrective actions, and remediation plans to ensure timely completion, effective implementation, and ongoing compliance with regulatory requirements.   

• Build and maintain strong relationships with clearing business, operations, legal, and other personnel.  

• Conduct and prepare written analyses of relevant laws, rules, regulations, and regulatory actions, to identify current and changing compliance requirements, including emerging compliance risks. 

• Assist with oversight and execution of key second line compliance activities for CCUS, including risk assessments, monitoring, testing, control evaluations, and the identification and escalation of compliance risks. 

• Support other Compliance department functions, including associate training development, cross-functional initiatives, and department projects, as needed. 

The ideal candidate has: 

• A minimum of five years of experience in the clearing industry, including experience with an FCM, exchange, broker-dealer, the CFTC, the SEC, NFA, or FINRA. 

• Proficiency in MS Office software (Word, Excel, Outlook, Power Point); familiarity with Jira, SharePoint, and Confluence is strongly preferred. 

• Familiarity with laws and regulations governing derivatives clearing organizations, with a strong ability to provide guidance and direction on related issues. 

• Self-motivated with the ability to effectively manage competing priorities and deadlines. 

• Highly collaborative with a demonstrated ability to build strong relationships across business, legal, risk, and operational teams. 

• Agile and adaptable, with the ability to learn new regulatory requirements, business processes, and technologies quickly. 

• Excellent written and verbal communication skills, including the ability to present complex information clearly and concisely. 

Education: 

• Bachelor's degree 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:

• 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 
• 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 
• 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 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 who does not discriminate against any employee or applicant for employment based on any legally protected characteristic, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or veteran status. We are committed to fostering a workplace where all individuals are valued and respected.  

This position is not eligible for visa sponsorship. Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future.

Salary Ranges (applicable for US locations only)

This role may also be eligible for annual incentive compensation and, where applicable, participation in Cboe's long-term equity programs.

Additional information about Cboe's total rewards program, including benefits and other compensation components, can be found here: Total Rewards at CBOE.​
 

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.