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Regulatory Auditor

Company: CBOE
Location: Olathe
Posted on: March 18, 2023

Job Description:

Job DescriptionThe Cboe Regulatory Division (the Division ) is actively seeking a highly motivated Regulatory 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)ResponsibilitiesPerform a combination of the following duties according to departmental guidelines:

  • Conduct design and operating effectiveness 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 dutiesRequirements
    • Bachelor s Degree in a relevant field (e.g., Accounting, Finance, Computer Science)
    • 1-2 years of experience in an audit, compliance, or regulatory role
    • Experience independently managing and completing projects in a timely fashion
    • Securities industry experience, preferredSkills
      • Exceptional written, analytical and research skills
      • Must be proficient with Excel.
      • 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#LI-JS1#LI-HYBRID 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.

Keywords: CBOE, Olathe , Regulatory Auditor, Other , Olathe, Kansas

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