Your responsibilities will be:
◆ Lead and strategically direct the combined UK and Netherlands Compliance function, optimising the capabilities of all team members and enabling staff to work across both jurisdictions with appropriate training.
◆ Ensure Compliance operates as a demonstrably independent second line of defence, with a clear delineation between first-line ownership of regulatory implementation and Compliance’s role as adviser, reviewer and challenger.
◆ Own and mature the Compliance Risk Assessment (CRA) and Compliance Monitoring Programme (CMP), ensuring the CRA becomes the principal driver of Compliance planning and assurance activity, and that CRA/CMP outputs are reviewed by Compliance leadership.
◆ Reposition and own the Compliance Manual and Rulebook as the overarching governance documents for the Compliance function.
◆ Establish the authoritative hierarchy of Group and local policies and procedures, resolving day-to-day compliance queries from the business and delivering a compliance training programme across Cboe Europe.
◆ Develop Compliance management information (MI) and key risk indicators (KRIs) that provide the RDC, ARCC and entity Boards with an appropriate degree of assurance over the control environment.
◆ Oversee delivery of the firm’s financial crime risk assessment and ensure AML governance arrangements are supported by documented evidence of how financial crime risk has been assessed.
◆ Act as Money Laundering Reporting Officer (MLRO) for Cboe Europe’s UK regulated entities and oversee the equivalent AML/CTF officer function for the Netherlands entities, maintaining ongoing oversight of the firm’s AML and KYC framework.
◆ Oversee Compliance review and sign-off of external-facing communications, including marketing materials, press releases and trading notices, prior to release.
◆ Provide regulatory and compliance input into the firm’s Risk Register and the Financial Risk Assessment process.
◆ Complete a full resource and skills gap assessment for the integrated team, including succession planning, and align the function to regulatory expectations regarding responsibilities and reporting lines.
◆ Drive the Compliance function’s with structured monitoring and testing, formal issue-management and remediation processes, dashboards and automation of regulatory change management.
◆ Sit on the firm’s internal regulatory committee (the RDC), and represent Compliance at the ARCC and the Boards of Cboe Europe Limited, Cboe Chi-X Europe Limited and Cboe Europe B.V, engaging directly with the FCA, AFM and ESMA as required.