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Suzanne Clune

@suzanneclune

More than 15 years of experience in Internal Audit and Compliance, I bring a strong foundation in internal controls, compliance, and risk management.

United States

Message

At Cboe Global Markets, I led a six-person corporate compliance team overseeing trade controls, data governance, compliance training, and records management. I also provided second-line oversight for Cboe Data Vantage’s data and index products, aligning processes and controls with applicable IOSCO Principles for Financial Benchmarks.

Earlier, I directed internal audit engagements and risk assessments, presented findings to senior leadership and regulatory oversight committees, and led the Quality Assurance and Improvement Program. Across financial services, PwC, and Northwestern University, I worked on SOX compliance, regulatory audits, enterprise risk management, and AML/KYC.

Experience

Work history, roles, and key accomplishments

Senior Director, Corporate Compliance

Cboe Global Markets

Jul 2022 - May 2026 (3 years 10 months)

Led a six-person compliance team overseeing trade controls, data governance, compliance training, and records management. Served as primary compliance lead for Cboe Data Vantage, ensuring alignment with IOSCO Principles for Financial Benchmarks.

Compliance Trade Controls Data Governance Compliance Training Records Management IOSCO Principles GRC AI Solutions Control Frameworks Risk Assessment

Director Internal Audit

Cboe Global Markets

Mar 2019 - Jul 2022 (3 years 4 months)

Directed end-to-end execution of compliance, operational, and regulatory internal audit engagements. Designed and executed the annual risk assessment process and presented findings to senior leadership and the regulatory oversight committee.

Internal Audit Risk Assessment Compliance Operational Audits Regulatory Audit Processes QAIP External Audit Management SEC CFTC Broker Dealer Compliance

Manager, Internal Audit

Cboe Global Markets

Mar 2014 - Mar 2019 (5 years)

Managed end-to-end audit engagements including planning, fieldwork, and reporting across compliance, regulatory, and operational areas. Supervised and developed staff auditors and interns.

Internal Audit Compliance Operational Audits Regulatory Audit Processes Team Leadership Staff Development

Senior Internal Auditor

Cboe Global Markets

Nov 2011 - Mar 2014 (2 years 4 months)

Executed risk-based audits covering operational, regulatory, and compliance areas. Supported SOX testing and regulatory audit requirements.

Internal Audit Risk Based Audit SOX Testing Regulatory Compliance

Risk Analyst

Northwestern University

Jun 2009 - Nov 2011 (2 years 5 months)

Facilitated and managed the University's Enterprise Risk Management (ERM) initiative. Developed consulting engagements and managed the GRC tool (Paisley GRC on Demand).

Enterprise Risk Management GRC Paisley GRC On Demand Risk Reporting Heatmaps Business Process Impact Analysis

Senior Associate, Advisory Services

PwC

Sep 2004 - Jun 2009 (4 years 9 months)

Led SOX documentation and controls testing engagements across financial services sectors. Managed end-to-end SOX compliance testing and supported AML/KYC compliance for an international bank.

SOX Compliance Controls Testing Internal Audit AML KYC Financial Services Insurance Banking Mortgage Broker Dealer

Internal Auditor

New Edge Financial Inc.

Jul 1999 - Aug 2004 (5 years 1 month)

Designed and executed internal audit reviews for an FCM/Broker-Dealer. Led process documentation and control assessments across high-risk functional areas.