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Attorney in Lenexa, KS

Cboe Exchange, Inc. Jan 01,2022 Jul 01,2021 Location Lenexa KS
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In-House

Attorney

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Regulatory Advisor The candidate will responsible for various functions within the Regulatory Division, including but not limited to: coordinating communications with the SEC, CFTC and other government agencies; evaluating the impact of proposed rule filings and circulars on the regulatory programs; developing and maintaining Division policies and procedures; overseeing the Exchange’s regulatory interpretations process, through which Exchange Members may seek interpretations from the Division related to Exchange rules; and organizing and directing the Division’s education and training program. Will report to the Senior Director of the Regulatory Advisor and Interpretations Department (RAID). The incumbent will include supporting the Regulatory Interpretations process, development and writing of policies and procedures of the Regulatory Division for the Cboe-affiliated U.S. Exchanges (Cboe Options, C2 Options, BZX, BYX, EDGX, EDGA, CFE and Cboe SEF), coordinating the review of rule filings for regulatory program impact, drafting, and reviewing communications to members, and otherwise assisting the Director and Chief Regulatory Advisor. Independently develop, or collaborate with internal and external subject matter experts to develop, documentation for the Regulatory Division. Review, draft and/or revise policies, procedures and a variety of other materials for the Division. Assist, along with others, in the review of policies and procedures of the Division’s service provider(s), including relevant surveillance, investigation and examination procedures. Support Senior Director with coordinating review of rule filings for impact on regulatory programs and identifying related Division commitments, as well as maintaining documentation attendant to that process. Keep abreast, and keep others informed, of latest regulatory developments that may impact Division programs. Evaluate policies and procedures to identify gaps and make edits or enhancements. Coordinate with others to perform ongoing and regular updates to maintain documentation current with process. Identify and/or draft changes in response to various other initiatives, including product launches and systems enhancements. Document changes in a consistent manner and maintain related records. Draft circulars and educational materials related to rules and rule interpretations. Serve as a resource for the Division’s Regulatory Interpretations program. Prepare written analysis of questions presented and applicable rules and requirements. Serve as a resource for the Division’s Training program and develop related training materials. Prepare, or assist with the preparation of, responses to requests for regulatory information, such as those made by the SEC and CFTC. Execute projects independently and produce deliverables within established time-frames. Handle sensitive and complex issues with discretion and good judgment, and professionally interact with individuals across the organization. Build and maintain an understanding of the Exchanges’ regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative and examination techniques. Provide advisor support for various other Division activities. Juris Doctorate required from an accredited institution. Licensed to practice law in any state. 3+ years of experience working at a law firm or at a corporation with a specialty related to securities exchange and/or derivatives markets regulation and compliance, other regulatory matters or related fields of law. Experience writing policies, procedures and/or technical documentation; experience independently managing projects. Computer proficiency in Microsoft Office Suite applications including Word, Excel, PowerPoint and Outlook, as well as document management and other office technologies. Coursework, training or certification in one or more of the following areas a plus: Series examinations (SIE, 3, 4, 7, 57, 14 and/or 24), project management, business analysis, writing, editing and/or technical communications. Experience with SharePoint a plus. General knowledge of securities industry, derivatives markets industry, and/or related rules and regulations. Plan and prioritize work to meet objectives of multiple or competing priorities and projects. Work concurrently on complex activities and tasks to accomplish goals. Meet individual and/or team goals for a quality, on-time outcome.

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