Cboe

Sr. Investigator

Kansas City, MO · Senior

No sponsorship$89k-$116kDetected 20 days ago

Data AnalysisAccountingExcelLeadershipCommunicationCollaborationProblem SolvingOrganizational SkillsMicrosoft Office

About the role

The Cboe Regulatory Division (the "Division") is actively seeking a highly motivated and experienced professional to join the Equities Investigations team.
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.
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.

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.
Building trusted markets - powered by our people
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.

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.
Knowledge & Skills
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.
Exceptional written communication skills, including the ability to draft clear, well-organized investigative reports with minimal supervision.
ability to present case findings credibly to management, the Enforcement team, and external parties including the SEC and other SROs.
Assist Enforcement with formal disciplinary proceedings, including preparation of materials and participation in related processes, as required.
Participate in on-the-record testimonies, as required

Bachelor's degree or equivalent required
degree(s) in Finance, Law, Accounting, Economics, Business, or a related field preferred.
Experience working with or at a Self-Regulatory Organization ("SRO"), the SEC, FINRA, or a similar regulatory body is strongly preferred.
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.
Proficiency in MS Office Suite, including Excel
ability to use data analysis tools relevant to trading surveillance is a plus.

Fair and competitive salary and incentive compensation packages with an upside for overachievement

and Perks of working for Cboe Global Markets
We value the total wellbeing of our people - including health, financial, personal and social wellness.
We believe standard benefits like health insurance and fair pay are a given at any organization.
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 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
Paid tuition assistance and education opportunities
Participate in training and continuing education opportunities, industry developments, and team meetings to maintain a current and comprehensive understanding of the equities regulatory environment.
Flexible, hybrid work environment

At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters.

We're proud to be an equal opportunity employer do not discriminate against any employee or applicant for employment based on any legally protected characteristic, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or Veteran status.
We are committed to fostering a workplace where all individuals are valued and respected.
This position is not eligible for visa sponsorship.
Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future.

This listing is sourced directly from Cboe's careers page and normalized into a canonical job model.