Job Description
Position Summary

The Cboe Regulatory Division (the “Division”) is actively seeking a highly motivated Senior Auditor to expand review of the Division’s internal regulatory program’s compliance with Exchange rules and federal regulations. This position reports to the Director of Regulatory Planning & Analysis and will complement Cboe’s Internal Audit coverage of the Regulatory Division.

**Role can be located in either Chicago, IL or Lenexa, KS (flex hybrid)

Responsibilities

Perform a combination of the following duties according to departmental guidelines:
Assist in the development of an internal regulatory audit program, with in an initial focus on design and operational testing of the Division’s internal surveillance alert development and implementation
Develop and review design and operating effectiveness control tests to identify potential programmatic gaps and enhancement opportunities
Maintain thorough audit workpapers and compose audit reports in a clear and concise manner to summarize testing and findings
Build and maintain a thorough understanding of Cboe’s Regulatory Division programs and obligations. Develop and maintain professional relationships with other departments within the organization
Collaborate with various Cboe teams to further enhance Cboe’s regulatory programs
Participate in other team assignments and special projects as assigned.
Potential for expanded responsibilities and duties

Requirements
Bachelor’s Degree in a relevant field (e.g., Accounting, Finance, Computer Science, or Management Information Systems)
4+ years of experience in an auditing, compliance, or regulatory role
Experience independently managing and completing projects in a timely fashion
Securities industry experience, preferred

Skills
Exceptional written, analytical and research skills
Must be proficient with Excel. Experience with compliance/surveillance systems, Tableau, Jira, and Confluence is a plus
Complete work without the need for prompting from supervisor or others; successfully complete most tasks independently, asking for additional support when needed; meet quality and timeliness standards by monitoring own work; recognize and take appropriate action to address problems and opportunities
Interact in a professional manner with internal and external contacts; use tact and diplomacy; maintain confidentiality; appropriately handle and communicate controversial or sensitive information
Evaluate, analyze, and summarize data and facts; establish logical connections; form sound decisions based on analysis
Organize and prioritize tasks and work assignments; complete multiple tasks simultaneously with accuracy and quality; adjust to changes in priorities and situations; complete work under pressure; meet deadlines
Create clearly-written, organized documents and correspondence with correct grammar, spelling and punctuation

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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.


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