Senior Compliance Officer

Summary: The Senior Compliance Officer is responsible for the ongoing development and delivery of the risk-based Compliance framework at Cboe Europe, encompassing a Compliance Monitoring Programme, independent second-line challenge and oversight, provision of advice and guidance to the business, maintenance of compliance policies and procedures and the periodic reporting of management information to governance forums.  

Based in London, the successful applicant will be part of an experienced Compliance team, which has oversight of Cboe Europe’s businesses in the UK and Amsterdam and maintains the relationship with its regulatory bodies.  

Location: London, UK 

Responsibilities 

• Implement the risk-based Compliance Monitoring Programme (CMP) 

• Deliver the periodic Compliance Risk Assessment, as the key driver of the CMP    

• Stay up to date with the latest UK and EU legislative and regulatory requirements 

• Assess the impact on the business of new and upcoming regulatory changes 

• Provide compliance advice to the business with respect to new and existing regulations 

• Provide input to the business on new initiatives and projects and their impact on regulatory obligations 

• Produce, review and maintain, as required, internal compliance policies, procedures and controls 

• Maintain the relationship with regulatory bodies and keep them apprised of all required information 

• Ensure all regulatory filings with regulatory bodies, as required, are submitted on time 

Requirements 

• A bachelor’s degree or equivalent 

• Ability to work well under pressure and adapt to changing situations 

• Strong multi-tasking and customer service skills 

• Previous experience of working in a compliance department at an exchange or regulated firm 

• Familiarity with trading techniques and technology  

• Knowledge of current UK and EU regulatory regime 

• Strong troubleshooting, problem-solving and analytical skills 

• Ability to work well in a team environment 

• Strong written and verbal communication skills 

• A desire to embrace new technologies to enhance productivity and drive efficiencies 

About Cboe 

At Cboe, we lead the industry globally in trading platforms, and tradeable products and services. We are committed to developing innovative products, delivering unparalleled service and offering cutting-edge trading technology. A career at Cboe means the chance to work for the industry leader and have a direct impact on Cboe’s continued success in the marketplace. The industry and technology professionals that make up the Cboe team are focused on keeping innovation and competition alive in the securities markets. We capitalise on our mix of seasoned and new talent to solve problems and bring solutions.