Cboe Global Markets-posted 1 day ago
$102,000 - $126,000/Yr
Full-time • Mid Level
Hybrid • Chicago, IL

Lead Investigator, Regulation At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting-edge trading, clearing and investment solutions to market participants around the world. We’re building inclusive ways to support professional and personal development while strengthening the trust we’ve earned as a global market leader. Our teams are empowered to share ideas, actively pursue them and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. Our Associate Resource Groups champion diversity, equity and inclusion, giving employees a safe space to network, share ideas and create opportunities. Sound like the place for you? Join us! 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”). Location : flex hybrid in our Chicago, IL office. What You’ll Do: 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
  • Coach and mentor junior investigators on the team
  • Actively participate in training/continuing education opportunities and meetings
  • Bachelor's Degree
  • Five 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
  • Medical Coverage
  • Prescription Drug Coverage
  • Additional Medical Benefit
  • Dental Coverage
  • Vision Coverage
  • 401K or Pension Company M atch
  • Spending Accounts
  • Life and AD&D Insurance
  • Retirement Savings Plan
  • Employee Stock Purchase Plan (ESPP)
  • Voluntary & Additional Benefits
  • Paid Time Off
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