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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