[The logo is protected from the company]
Chicago Board Options Exchange (CBOE), the largest U.S. options exchange and creator of listed options, continues to set the bar for options trading through product innovation, trading technology and investor education.CBOE offers equity, index and ETF options, including proprietary products, such as S&P 500 options (SPX), the most active U.S. index option, and options on the CBOE Volatility Index (VIX), the world's barometer for market volatility. Other groundbreaking products engineered... Read More
|Address||400 S La Salle St # 1 Chicago, IL 60605|
|Holding||No Holding Details|
View Company Page
Position Summary: Oversees financial investigations and examination program for assigned group, including scheduling, coordination with other exchanges and review of exams.
Duties and Responsibilities: Performs a combination of the following duties according to departmental guidelines:
* Manages activities of assigned staff in areas of hiring, training, performance review, and termination decisions.
* Schedules work assignments and provide guidance to staff to ensure work is performed accurately and within scheduled timelines.
* Directs staff in researching issues, conducting formal fact-finding interviews, and evaluating and presenting evidence and recommendations concerning appropriate regulatory disposition in written reports to Exchange and/or SEC Officials.
* Ensures that examinations and investigations are well documented and executed according to departmental standards.
* Participates in the development of examination programs by assisting in the enhancement of business logic and web-based analytical tools.
* Assists company attorneys with respect to prosecution or settlement of formal disciplinary proceedings.
* Conducts presentations to Exchange Committees and Officials, SEC and other Government Officials, and U.S. and international exchange or guest.
* Performs other duties as assigned.
* Minimum (5) years experience in a securities, finance, regulatory or auditing role which includes directly related experience in accounting, broker-dealer risk management, regulatory reporting, and knowledge of SEC Rules 15c3-1, 15c3-3 and 17a-5. Back-office experience to include a minimum (1) year experience as a Chief Examiner at an SRO.
Knowledge, Skills and Abilities:
* Advanced knowledge of derivatives markets, especially option pricing methodologies as well as a working knowledge of financial markets.
* Advanced knowledge of rules and regulations as they apply to financial and operational compliance.
* Ability to effectively communicate both verbally and in writing and to effectively interact with internal and external contacts.
* Ability to lead and motivate assigned staff in performance of job duties.
* Ability to analyze and evaluate facts and make correct decisions.
* Ability to make rational judgments on complex matters.
* Ability to prioritize work and adapt to changes in work priorities.
* Basic level computer skills with MS Office Suite and other business related software.
Educational requirements include Bachelor’s degree in Accounting, Economics, Business, Finance or related area or equivalent in experience. Master’s degree desirable.
Other Job Information