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 mattersContribute 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 infinancial 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 tactfullyAbility to work unsupervisedStrong integrity, disciplined work ethic, must be a self-starterExcellent self-organisational, interpersonal and communication skillsAbility to work with diverse personalities, cultures and business practices inherent to an international operationStrong team player prepared to get involved in multiple tasks with the ability to show initiative, be flexible, adaptable and comfortable in a fast-paced environmentAn aptitude for working in assisting others to achieve individual goals that reflect positively on the L&C team. #LI-JS1
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. About Us Cboe is always looking for intelligent, innovative and hard-working individuals. Our success is based on our talented team of industry and technology professionals, which we believe is the strongest in the industry, and we pride ourselves on hiring the best and brightest.
Cboe Global Markets is an Equal Opportunity Employer. For more information, please click the following links:
If you have been contacted about a job opening at Cboe by someone that does not have a @cboe.com email, this is NOT a trusted source. Cboe only utilizes emails from @cboe.com or Linkedin messaging for recruitment purposes. Cboe does not use any other third-party messaging applications. We recommend that you refrain from responding to Cboe recruitment emails that are not from a cboe.com email address and to file a complaint with the Internet Crime Complaint Center IC3 at https://www.ic3.gov/ . If you have further questions, please reach out to the Cboe HR team at ******
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