Investigator, Regulation

Cboe Global Markets•Chicago, IL

1d•Hybrid

About The Position

The Cboe Regulatory Division oversees its markets and market participants through surveillance, examination, and investigative programs designed to detect, discipline, or prevent violations and other inappropriate behavior. The Investigator joins the options investigations team and investigates trading activity on Cboe, Cboe C2, Cboe BZX, and Cboe EDGX Options Exchanges to assess possible violations of Exchange rules, SEC rules and regulations, and other applicable requirements. The role independently manages investigations from initiation through completion, evaluates evidence and applicable precedent, and recommends case dispositions to management. The Investigator prepares factual, well-supported investigative reports; may assist with on-the-record testimony; and presents case information to management and Enforcement committees, including in formal disciplinary proceedings. The role also works with internal regulatory staff and external contacts and collaborates with Options Surveillance and Enforcement colleagues on investigative solutions. This position follows a four-day in-office work model. Cboe’s Chicago headquarters is in the Old Post Office district and offers amenities including restaurants, a fitness center, and collaborative workspaces. The position is not eligible for visa sponsorship; candidates must be authorized to work in the United States without current or future employer sponsorship. The anticipated U.S. base salary range is $79,475–$102,850. The role may also be eligible for annual incentive compensation and, where applicable, long-term equity programs.

Requirements

Bachelor’s degree.
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.
Proficiency in the Microsoft Office suite, including Excel.

Nice To Haves

Two years of industry experience preferred.
Experience in a regulatory, compliance, and/or legal environment preferred.

Responsibilities

Independently manage investigations from inception to conclusion, completing investigative steps promptly and in accordance with expected guidelines.
Develop and maintain a thorough understanding of Exchange trading and regulatory environments, the securities industry, products, rules, technologies, systems, processes, operational methodologies, and investigative techniques.
Contribute to the creation of investigative processes addressing potential regulatory concerns.
Research matters, collect evidence, and conduct fact-finding to identify potential violations and determine what evidence is needed to assess whether activity was violative or otherwise improper.
Evaluate evidence and apply case law or precedent to assess whether it is sufficient and whether disciplinary or non-disciplinary action is warranted; recommend dispositions to management for review.
Prepare clear, cohesive investigative reports supported by factual evidence and analysis, following Division style and form guidelines and requiring minimal revisions.
Assist with taking on-the-record testimonies as required.
Present case information to management and Enforcement committees, including in formal disciplinary proceedings.
Interact professionally with internal regulatory staff and external contacts, including Members, other Self-Regulatory Organizations, and the SEC.
Collaborate and communicate with cross-functional teams, particularly Options Surveillance and Enforcement, to enhance or create solutions.
Participate actively in team projects, discussions, problem-solving, training, continuing education, and meetings.

Benefits

Fair and competitive salary and incentive compensation packages, with potential upside for overachievement.
Generous paid time off, including vacation, personal days, sick days, and annual community service days.
Health, dental, and vision benefits, including access to telemedicine and mental health services.
401(k) match at 2:1, up to an 8% match, immediately upon hire.
Discounted employee stock purchase plan.
Tax savings accounts for health, dependent care, and transportation.
Employee referral bonus program.
Volunteer opportunities.
Complimentary lunch, snacks, and coffee in Cboe offices.
Paid tuition assistance and education opportunities.
Company match for charitable giving.
Paid parental leave and fertility benefits.
On-site gyms and discounts to other fitness centers.