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Years of Experience
Date Last Verified
Senior Enforcement Attorney The candidate will be responsible for managing the enforcement program for CBOE and C2. This will include managing the cases and recommendations coming from third party service providers, evaluating and editing the cases/recommendations and providing support to the CBOE and C2 Regulatory Division on every aspect of the enforcement program. Provide advice and counsel on investigation/examination enforcement matters for CBOE and C2. Interact with third party providers in connection with outstanding exams/investigations and enforcement matters. Manage, supervise and monitor status and resolution of enforcement matters. Present enforcement matters and recommendations to the Chief Regulatory Officer for review and approval. Collaborate with cross-functional business and legal team members and outside counsel. Assist in the development of regulatory investigations, including case strategy, rule application and participation in investigative interviews if necessary. Assist in conveying staff’s recommendations for formal disciplinary action to the Business Conduct Committee (BCC) for approval. Responsible for researching relevant precedent where necessary to ensure recommended sanction levels are appropriate. Responsible for representing the Exchange at hearings along with third party service providers and review/approve appeal briefs, if necessary. Perform other duties as assigned.
Qualification and Experience
The candidate must have 5 years of experience in securities litigation and enforcement. Law Degree (JD) and license to practice law in Illinois required. Must have strong understanding of the financial services industry. Excellent written and verbal communication skills is required. Previous employment at a regulatory agency (Securities and Exchange Commission or Commodity Futures Trading Commission), Self-Regulatory Organization and/or broker-dealer is preferred. Must possess excellent written and oral communication skills and strong presentation skills. Strong understanding of civil procedures is required.
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