Job Description

The Compliance Manager has the responsibility, together with the rest of the Legal & Compliance team, for ensuring:

• Cboe Australia discharges its statutory obligations as the holder of an Australian Market Licence;
• Cboe Australia operates a market with integrity and participants adhere to the operating rules;
• The Compliance function operates in a way that is responsive to daily operational matters, while also engaging pro-actively with participants to promote awareness and understanding of regulatory standards expected on the Cboe Australia market;
• Any key person risks in the Compliance team are addressed through contingency planning and implementation.

Essential Duties and Responsibilities

Work with the Compliance team to ensure the compliance framework and necessary procedures are implemented. This may include:

• Legal analysis of Cboe Australia obligations;
• Internal and external compliance monitoring;
• Working with internal colleagues to ensure the completion of the key submissions to ASIC, including the quarterly questionnaire and annual internal assessment under s792F;

Reporting on and the investigation of participant/issuer conduct including, where required, taking enforcement action;

• Responding to ASIC queries as and when required;
• Providing regular reports on compliance activities and escalate material issues as required;
• Initiating and conducting participant/issuer disciplinary matters;
• Analysing the legal and policy implications of proposed regulatory developments that may impact upon Cboe Australia;
• Staying abreast of developments in financial markets and financial markets regulation globally;
• Making recommendations to update and enhance Cboe Australia's compliance framework on an ongoing basis;
• Building relationships with industry stakeholders; and
• Liaison with participants/issuers, their legal advisers, regulators and internal stakeholders.

Job Requirements

• The individual will have demonstrated a record of success in legal and/or compliance function in a Financial Services environment.
• Ability to work autonomously and deliver at a senior level.
• Experience operating in financial markets, including the operational, compliance and regulatory issues arising in those markets.
• Experience dealing with regulators, lawyers, clearing houses and exchanges demonstrating the ability to leverage personal as well as professional associates when developing the local business.
• Experience operating in the Australian business and regulatory environment.
• Experience implementing corporate governance and compliance practices.
• It is preferred that the candidate has experience of working within an international environment.
• Resolves and/or escalates issues in a timely fashion.
• Understands how to communicate difficult/sensitive information tactfully.
• Ability to work unsupervised.
• Strong integrity, disciplined work ethic, must be a self-starter.
• Excellent self-organisational, interpersonal and communication skills.
• Ability to work with diverse personalities, cultures, and business practices inherent to an international operation.
• Strong team player, prepared to get involved in multiple tasks with the ability to show initiative, be flexible, adaptable, and comfortable in a fast-paced environment.
• Minimum Years of Work Experience: 10
• Minimum Education Requirement: Bachelor Degree

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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.