Sr. Investigator

Cboe Global Markets•Kansas City, MO

1d•$89,250 - $115,500•Hybrid

About The Position

The Cboe Regulatory Division is actively seeking a highly motivated and experienced professional to join the Equities Investigations team. The Sr. Investigator performs independent, specialized 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 and other applicable rules and regulations. An individual in this role applies advanced functional and regulatory knowledge to solve non-routine investigative problems, independently leads specialized workstreams from inception to conclusion, and produces analysis and recommendations that others rely upon. The Sr. Investigator will be a recognized resource on the team — someone who brings both the technical expertise to handle complex cases and the professional acumen to mentor less experienced colleagues and represent the Division in multi-stakeholder settings.

Requirements

Bachelor’s degree or equivalent required; degree(s) in Finance, Law, Accounting, Economics, Business, or a related field preferred.
Minimum 3-5 years of experience in the securities industry, regulatory environment, compliance, or a related legal/investigative field
Demonstrated experience conducting or managing investigations, with the ability to work independently on complex, non-routine matters.
Experience working with or at a Self-Regulatory Organization (“SRO”), the SEC, FINRA, or a similar regulatory body is strongly preferred.
Strong working knowledge of U.S. equities markets, market structure, and trading operations, including an understanding of the Exchanges’ rules and applicable SEC rules and regulations.
Proficiency in analyzing large volumes of trading data to identify patterns, anomalies, and potential violations; experience with data querying tools or trading surveillance platforms is a plus.
Exceptional written communication skills, including the ability to draft clear, well-organized investigative reports with minimal supervision.
Strong verbal communication skills; ability to present case findings credibly to management, the Enforcement team, and external parties including the SEC and other SROs.
High level of analytical ability and sound judgment in evaluating evidence, applying regulatory precedent, and recommending appropriate case dispositions.
Strong organizational skills and attention to detail, with the ability to manage multiple active investigations simultaneously under defined timelines.
Proficiency in MS Office Suite, including Excel; ability to use data analysis tools relevant to trading surveillance is a plus.
Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future.

Nice To Haves

Experience with data querying tools or trading surveillance platforms is a plus.
Ability to use data analysis tools relevant to trading surveillance is a plus.

Responsibilities

Conduct independent, complex 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.
Prepare investigative reports detailing findings in a clear, cohesive, and well-supported manner. Utilize Division guidelines for style and form, and present complete work product requiring minimal revisions.
Manage investigations independently from inception to conclusion, meeting expected guidelines and quality standards throughout all stages, including evidence collection, analysis, and case resolution.
Serve as a mentor and subject matter resource for junior staff; assist management in training and developing less experienced investigators, including reviewing work product, sharing investigative techniques, and providing guidance on regulatory interpretations.
Collaborate cross-functionally with the 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 materials and participation in related processes, 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; prepare relevant materials and conduct proceedings with professionalism and regulatory precision.
Participate in training and continuing education opportunities, industry developments, and team meetings to maintain a current and comprehensive understanding of the equities regulatory environment.

Benefits

Fair and competitive salary and incentive compensation packages with an upside for overachievement
Generous paid time off, including vacation, personal days, sick days and annual community service days
Flexible, hybrid work environment
Health, dental and vision benefits, including access to telemedicine and mental health services
2:1 401(k) match, up to 8% match immediately upon hire
Discounted Employee Stock Purchase Plan
Tax Savings Accounts for health, dependent and transportation
Employee referral bonus program
Volunteer opportunities to help you give back to your communities
Complimentary lunch, snacks and coffee in any Cboe office
Paid tuition assistance and education opportunities
Generous charitable giving company match
Paid parental leave and fertility benefits
On-site gyms and discounts to other fitness centers