Investigative Analyst, Regulation

2 weeks ago

Chicago, United States The Chicago Board Options Exchange Full time
Job Description

Building trusted markets - powered by our people.

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: 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.

In this role, you can expect to:
  • 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
What You'll Need:
  • Bachelor's Degree
  • Two years of Industry experience preferred
  • 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


What You'll Get:

Whether you are just beginning your career or are a senior-level professional, working at Cboe will offer you countless opportunities to develop skills, make an impact through meaningful contributions, and gain rich experiences at an accelerated pace. By working collaboratively with smart, genuine and hardworking colleagues, you will build enduring relationships through frequent collaboration that will serve you well throughout your career, regardless of your chosen path. And, along your exceptional career journey at Cboe you'll receive amazing benefits and robust rewards.

#LI-HYBRID

#LI-JS1

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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