Job Description:
Building trusted markets — powered by our people
At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting-edge trading, clearing and investment solutions to market participants around the world.
We’re building meaningful ways to support professional and personal development while strengthening the trust we’ve earned as a global market leader. Our teams are empowered to share ideas, actively pursue them and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. We strive to provide employees a safe space to network, share ideas and create opportunities.
To support strong partnership and team connection, this role follows a four day in office work model.
Role Overview
The Compliance Manager, CMP & GRC is responsible for leading Cboe's Compliance Monitoring Program (“CMP”), implementing risk-based compliance control testing and monitoring, driving program enhancements, and supporting alignment with Cboe's governance, risk, and compliance (“GRC”) initiative. You’ll design and deliver CMP initiatives that enable effective management of compliance risk, strengthen the Three Lines model, and support development of strong controls with mapping to policies and procedures and regulatory requirements. The work is highly collaborative and impactful, offering the opportunity to partner across the Compliance team and with Internal Audit, Enterprise Risk, Legal, and the First Line.
Duties and Responsibilities
Compliance Monitoring Program Development & Execution
Lead day-to-day implementation of the CMP, including annual planning, compliance testing and monitoring, issues tracking and validation, and reporting. Own and maintain the annual CMP plan, working with risk assessment data and partners across the Three Lines to scope, schedule, and prioritize testing and monitoring activities on a compliance risk basis.
Plan and execute compliance testing reviews and compliance monitoring activities: scope based on risk profile, evaluate effectiveness of controls in meeting regulatory obligations and providing strong internal risk mitigation, and create findings as appropriate, documenting results within the GRC platform.
Track and validate compliance issues and mitigation plans.
Identify opportunities, establish action plans, and drive solutions to continuously mature the CMP program as the GRC platform and its underlying processes evolve.
Coordinate with regional Compliance partners to drive continued alignment of CMP methodology and approach, supporting development of a global program with regional implementation.
Compliance Risk Assessment Development & Management
Support the ongoing management of an effective Compliance Risk Assessment (CRA), ensuring compliance risks are appropriately identified, mapping risks to controls and regulatory obligations, and maintaining alignment with the Enterprise Risk Management (ERM) framework.
Plan and execute the annual Compliance Risk Assessment (“CRA”) refresh and ad hoc reassessments as needed, working with risk owners to provide support, review, and challenge of inherent and residual risk ratings across the compliance risk hierarchy.
Identify opportunities to continue the growth of the CRA program, transforming from point-in-time risk assessments to ongoing risk monitoring.
Monitor and review relevant laws, rules, regulations, and regulatory enforcement actions to identify new and changing compliance requirements or emerging compliance risk.
Tooling, Metrics, & Reporting
Guide enhancements to the GRC tool to support CMP/CRA requirements, workflows, and reporting in partnership with GRC project team and external…