Compliance Specialist Compliance Specialist …

in Chicago, IL, USA
Festanstellung, Vollzeit
Seien Sie der erste Bewerber
in Chicago, IL, USA
Festanstellung, Vollzeit
Seien Sie der erste Bewerber
Compliance Specialist
Compliance Monitoring Specialist Chicago, IL/en-US/External_Career_CBOE/job/Chicago-IL/Compliance-Monitoring-Specialist_R-1032/apply Job Description

The Compliance Monitoring Specialist will help perform a variety of duties in the Compliance Department, including reviewing and developing policies and procedures; analyzing controls to mitigate risk; performing monitoring and testing for compliance with regulatory requirements; and interacting with departments across the company to create, document, and monitor controls, policies, and procedures.


  • Evaluate policies and procedures and provide recommendations for improvements as needed: addressing gaps, adding controls, and improving effectiveness

  • Analyze existing controls, including monitoring and testing as appropriate, to assess their effectiveness in meeting regulatory obligations and providing strong internal risk mitigation. Document the scope of work performed, recommendations for enhancement, and any regulatory exceptions

  • Facilitate annual compliance risk assessment, meeting with departments across the company to gather their views of compliance risk and then assessing results with other members of Compliance

  • Administer projects and action items to complete critical work for the Compliance Department using methods for project tracking and status reporting

  • Assist in reviewing relevant laws, rules, regulations, and regulatory enforcement actions to identify new and changing compliance requirements or emerging compliance risk

  • Establish and maintain relationships with key business, operational, legal, and other personnel to support the exchange of communication with Compliance

  • Assist with the preparation and support of regulatory examinations, as assigned


  • Bachelor's Degree

  • 2 - 3 years of experience in compliance, internal audit, technical writing, and/or quality assurance

  • Highly motivated, diligent, and organized

  • Excellent written and verbal communication skills, including the ability to write clearly and concisely for multiple audiences. Technical writing experience a plus

  • Ability to serve as liaison between Compliance and business lines to ensure collaboration and coordination and to meet tight deadlines

  • Possess strong critical thinking and investigative skills in order to effectively evaluate policies and procedures

  • Ability to work both independently and in a dynamic team-oriented environment

  • Skilled at prioritization and multi-tasking with a strong attention to detail

  • Above-average proficiency with Microsoft Office suite

  • Familiarity with JIRA, SharePoint, and Onspring or other GRC software a plus


Cboe Global Markets is an Equal Opportunity Employer. For more information, please click the following links:

Posted YesterdayFull timeR-1032

Cboe is always looking for intelligent, innovative and hard-working individuals. Our success is based on our talented team of industry and technology professionals, which we believe is the strongest in the industry, and we pride ourselves on hiring the best and brightest.

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