Investigator

Vista previa de la oferta

Investigator

mid · Risk & Compliance

Job Description:

Position Summary:

The Cboe Regulatory Division (the "Division") is actively seeking a motivated professional to join the Equities Investigations team. The Investigator conducts investigations into the trading activity of Exchange Members to assist in determinations regarding possible violations of the rules of Cboe BZX, BYX, EDGA, and EDGX Exchanges (collectively, the "Exchanges") and other applicable rules and regulations. An individual in this role applies developing functional and regulatory knowledge to investigate assigned matters under the guidance of management.

Duties and Responsibilities:

• Conduct investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules and By-Laws — and the interpretations and policies thereunder — and applicable SEC rules and regulations.  Analyze evidence, apply regulatory judgment across multiple data sources, and determine appropriate disposition.

• Gather, organize, and analyze evidence across multiple data sources to support investigative conclusions and disposition recommendations.
• Prepare investigative reports detailing findings in a clear, cohesive, and well-supported manner, utilizing Division guidelines for style and form.

• Manage assigned investigations from inception to conclusion, meeting expected guidelines and quality standards throughout all stages, including evidence collection, analysis, and case resolution.
• Collaborate cross-functionally with Equities Surveillance, Enforcement, and other relevant teams to enhance investigative processes; create solutions that improve team effectiveness and efficiency; and support a cohesive Regulatory Program.
• Present case information to management and Enforcement teams, by articulating investigative findings, evidentiary support, and recommended outcomes clearly and persuasively.

• Assist Enforcement with formal disciplinary proceedings, including preparation of supporting materials, as required.
• Actively participate in team projects, discussions, and problem solving, including contributing to the development of new investigative processes and methodologies that address emerging regulatory concerns.
• Participate in on-the-record testimonies as required, assisting with preparation of relevant materials.
• Participate in training and continuing education opportunities, industry developments, and team meetings to build and maintain a working understanding of the equities regulatory environment.

Requirements:

Education

• Bachelor's degree required; degree(s) in Finance, Law, Accounting, Economics, Business, or a related field preferred.

Experience

• At least two years of experience in the securities industry, regulatory environment, compliance, or a related legal/investigative field.
• Prior experience related to investigations, compliance, or trading surveillance is a plus.
• Experience working with or at a Self-Regulatory Organization ("SRO"), the SEC, FINRA, or a similar regulatory body is a plus, though not required.

Knowledge & Skills

• Working knowledge of, or demonstrated aptitude to quickly learn, U.S. equities markets, market structure, and trading operations, including the Exchanges' rules and applicable SEC rules and regulations.
• Ability to analyze trading data to identify patterns, anomalies, and potential violations, with growing proficiency in data querying tools or trading surveillance platforms.
• Strong written communication skills, including the ability to draft organized investigative reports.
• Strong verbal communication skills; ability to present case findings credibly to management, the Enforcement team, and external parties including the SEC and other SROs.
• Sound analytical ability and developing judgment in evaluating evidence and understanding regulatory context.
• Strong organizational skills and attention to detail, with the ability to manage multiple assigned investigations simultaneously under defined timelines and supervision.
• Proficiency in MS Office Suite, including Excel; ability to use data analysis tools relevant to trading surveillance is a plus.

#LI-CS

This position is not eligible for visa sponsorship. Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future.

Salary Ranges (applicable for US locations only)

This role may also be eligible for annual incentive compensation and, where applicable, participation in Cboe's long-term equity programs.

Additional information about Cboe's total rewards program, including benefits and other compensation components, can be found here: Total Rewards at CBOE.​
 

Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.