Manager Compliance

Corporate Compliance Specialist

The Corporate Compliance function, which is part of the Governance, Risk and Compliance Department and acts as a shared service for the organization, supports all CME Group employees and consultants globally. This role will support the Executive Director, Deputy Corporate Compliance Officer, 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; making recommendations and implementing the annual communication and training calendar / strategy in coordination with other key stakeholders; and working with marketing on reviewing CME Group events for compliance-related issues.

Responsibilities :

• Have primary responsibility for the current compliance management system.
• Primary responsibility for maintaining and enhancing the Corporate Compliance intranet page with up to date and relevant content for the organization.
• Review existing compliance processes and recommend enhancements to ensure an efficient and effective use of resources; enhance documentation on processes.
• Develop the annual communication and training strategy for corporate and regulatory compliance requirements.
• Design, develop, and continuously improve engaging e-learning modules and training materials on key compliance topics (e.g., Code of Conduct, Anti-Money Laundering, Anti-Bribery) for enterprise-wide delivery.
• Support internal and external assessments of the compliance program to ensure it continues to operate effectively and in accordance with various guidance sources.
• Serves as a key resource for inquiries and issues as presented, seek guidance and coordinate accurate and clear responses in a timely manner.
• Ability to use data to proactively identify potential enhancements in policies, controls and monitoring activity, and resulting Management and Committee reporting.
• 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 coordinating, 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.
• 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.

Experience / Qualification :