Sr. Investigator

Job Description

Our Team: The Cboe Regulatory Division is responsible for the oversight of the markets for which it has regulatory responsibility and market participants. The Division endeavors to achieve this goal through effective and efficient surveillance, examination, and investigative programs aimed at detecting and disciplining or preventing violative or otherwise inappropriate behavior.

The Division is actively seeking a highly motivated individual to join our options investigations team and perform investigative activities to assist in determinations regarding possible violations of Cboe, Cboe C2, Cboe BZX, and Cboe EDGX Options Exchange (collectively, the “Exchanges”) Rules and other applicable rules and regulations governing Exchange Members and Trading Permit Holders (“TPH”).

Options Investigators in the Division are responsible for conducting focused investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities.

• Independently manage investigations from inception to conclusion and completing investigation steps in a timely manner that meet expected guidelines
• Build and maintain a thorough understanding of the Exchanges trading and regulatory environments, as well as the broader securities industry, in areas such as markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative techniques, while contributing to the creation of new investigative processes that address potential regulatory concerns
• Evaluate and analyze matters to identify potential violations as well as the types of evidence, including data and information, necessary to determine whether the activity in question was violative or otherwise improper via thorough research, collection of evidence and fact-finding
• Evaluate and analyze evidence to conclude sufficiency with respect to suspected violations through case law and/or precedent to determine whether non-disciplinary or disciplinary actions are warranted. Recommend appropriate disposition to management for review.
• Prepare investigative reports detailing findings in a clear, cohesive manner supported by factual evidence and analysis. Utilize Division guidelines for style and form; present work that is complete and requires minimal revisions.
• Assist in taking on-the-record testimonies, as required
• Present case information to management and Enforcement committees, including formal disciplinary proceedings
• Professionally interact with internal regulatory staff and external contacts, such as Members, other Self-Regulatory Organizations, and the SEC
• Collaborate and communicate with cross-functional teams, particularly the Options Surveillance and Enforcement team to enhance or create solutions
• Actively participate in team projects, discussions and problem solving
• Actively participate in training/continuing education opportunities and meetings

Skills and Requirements

• Bachelor's degree required, Economics, Business, Accounting, Finance, or related field preferred.
• 5 years of Industry experience is required
• Strong affinity with financial markets
• Highly self-motivated and driven
• Excellent communication and teamwork skills
• Exceptional written, analytical, and research skills
• Strong organizational and planning skills
• Must be proficient in MS-Office suite, including Excel
• Experience in a regulatory, compliance, and/or legal environment is preferred

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to [email protected].