Manager, Corporate Compliance
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This role will support the Senior Director, International Compliance & ERM, as well as various other functional groups and regulated organizations, by performing and supporting many of the day-to-day operational functions required of the global corporate compliance function, including but not limited to: drafting and reviewing policies and standards; developing, designing and delivering compliance education; operating the compliance management system; reviewing and making recommendations with respect to employee conflicts of interest disclosures and gift/entertainment requests; making recommendations and implementing the annual communication and training calendar/strategy in coordination with other key stakeholders; conducting screening for economic sanctions and escalating issues; and working with marketing on reviewing CME Group events for compliance-related issues.
In addition, the role will:
- Review existing compliance processes and recommend enhancements to ensure an efficient and effective use of resources; enhance documentation on processes.
- Support internal and external assessments of the compliance program to ensure it continues to operate effectively and in accordance with various guidance sources.
- Have the ability to use data to proactively identify potential enhancements in policies, controls and monitoring activity, and resulting Management and Committee reporting.
- Develop the annual communication and training strategy for corporate and regulatory compliance requirements.
- Have primary responsibility for the current compliance management system, and leading the system migration to an alternate system.
- Have primary responsibility for maintaining and enhancing the Compliance intranet page with up to date and relevant content for the organization.
- Work with others in Corporate Compliance, Regulatory Compliance, Human Resources and Global Information Security to conduct and oversee periodic monitoring and auditing of compliance activities to ensure ongoing compliance and to assess for process improvements.
- Frequently coordinate, as part of the overall Governance, Risk, and Compliance program, with CME Group's Regulatory Compliance Officers as required.
- Develop a strong working knowledge of the business units and functional roles throughout the organization, enabling the identification and evaluation of known or potential compliance risks, present conclusions and recommendations for corrective action.
- Produce materials for quarterly reports/meetings of the Global Corporate Compliance & Ethics Team, Management Team and the Risk Committee on the operation and effectiveness of the compliance program.
- Coordinate activities of the Corporate Compliance organization, including quarterly cross-functional team meetings and marketing event reviews.
- Assist with internal and external audits and regulatory exams, as necessary.
- Stay informed of the current compliance landscape, especially regarding applicable new or amended laws and regulations and assist in the development of updated procedures and controls addressing these changes.
- Assist with other special projects in compliance as requested.
- Serve as a key resource for inquiries and issues as presented, seek guidance and coordinate responses in a timely manner.
- Pursue opportunities to develop and strengthen knowledge of compliance through training, conferences, and other outlets, be motivated to learn and willing to obtain professional certifications increasing the understanding and skills essential to this role.
- Bachelor's degree
- 4-5+ years of experience with, or exposure to, business functions such as compliance, audit, legal or regulatory affairs.
- Excellent analytical skills and the ability to discern the practical application of regulatory and legal requirements.
- Ability to communicate and influence assertively, clearly and concisely, both in writing and verbally; strong attention to detail and accuracy.
- Must have the ability to effectively and accurately manage multiple tasks with minimal supervision, establish and maintain effective working relationships and independently prioritize workload, meet deadlines and work effectively in a fast-paced environment with multiple demands.
- Proactive personality, eager to learn new areas of responsibility and committed to understanding the industry and the company's business and emerging corporate compliance practices.
- Takes ownership over work and ensures its timely completion.
- Demonstrated ability to work effectively with a team and ability to foster working relationships.
- Highly professional in interactions, demeanor and presentation.
- Confident and decisive in stressful situations and tight time frames; utilizes good judgment and demonstrates maturity, tact and diplomacy; maintains confidences and utilizes the utmost in discretion.
- Solid project management and organization skills (ability to manage several competing assignments and perform assignments accurately and in a timely manner).
- Knowledge of computer software (e.g. MS Office, Excel, Visio, PowerPoint, MS Project) and ability to learn new software systems quickly.
- Experience with Risk and Compliance software systems used for policy certification and related disclosures.