Cross Market Investigator, Regulation

3 days ago

Chicago, United States Cboe Global Markets Full time
Job Description

The Cboe Regulatory Division (the "Division") is actively seeking a highly motivated individual to join our Cross Market Surveillance team. The investigator will conduct real-time and pattern-based surveillance to assist in determinations of potential rule violations of Cboe Options, CFE Futures Exchanges (collectively, the "Exchanges") Rules along with other applicable rules and regulations governing Exchange Members and Trading Permit Holders ("TPH").

Location: Chicago (flex hybrid)

Duties and Responsibilities:

  • Conduct surveillance and analysis of or order entry and trade on the Exchanges to detect possible violations of Cboe and CFE rules and policies.
  • Analyze and compile data into meaningful summaries, update files promptly, and make findings available to the team.
  • Contribute to the creation of new surveillance processes, operational methodologies, and surveillance techniques that address the Regulatory program's concerns.
  • Conduct investigations to ensure compliance with Exchanges rules.
  • Build and maintain an understanding of the Exchanges' regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative and examination techniques.
  • Collaborate and communicate with cross-functional teams, particularly the Options Investigations team, to enhance or create solutions and make the team more effective and efficient.
  • Participate in special projects as assigned.

Skills and Experience:

  • Exceptional written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis.
  • Strong attention to detail, organization, and effective communication skills (verbal and oral).
  • 2+ years of experience in the securities and trading industry required. (derivatives experience preferred)
  • Highly proficient in MS Office suite products.
  • Ability to work effectively and independently with all levels of management and staff.
  • Extra Credit: Experience with relational databases (SQL, VBA, Access)
  • Extra Credit: Experience with SMARTS Trade System Surveillance software.

Education:

  • Bachelor's degree required; economics, business, accounting or finance (preferred).
  • Advanced Degree MBA, Masters, J.D. (preferred)

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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.

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