Cross Market Investigator
Who We Are and What We Do:
Cboe is one of the world’s largest exchange holding companies, offering cutting-edge trading and investment solutions to investors around the world in multiple asset classes, including equities, derivatives, and FX, across North America, Europe, and Asia Pacific. We operate a trusted, inclusive global marketplace, providing leading products, technology, and data solutions that enable participants to define a sustainable future. Cboe’s culture is unique. Our associates come to work inspired, ready to be part of the next market-defining breakthrough. Everyone has value and we believe in celebrating defining moments together. We pride ourselves on our legacy of championing innovation and revolutionizing markets to benefit all investors. Together, we are working to build one of the world’s largest global equities and derivatives trading networks.
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 cross-market surveillance team to perform analysis and conduct investigations into possible violations of Cboe, Cboe C2, Cboe BZX, Cboe EDGX Options, and CFE Exchange (collectively, the “Exchanges”) Rules and other applicable rules and regulations governing Exchange Members and Trading Permit Holders (“TPHs”).
Location: Chicago (flex hybrid)
What You’ll Do:
Cboe Global Markets is looking for an investigator who will be responsible for performing a combination of the following duties according to departmental guidelines:
Analyze evidence (data and information) to make determinations regarding whether the activity in question was violative.
Perform thorough research, collect evidence, and conduct fact-finding interviews of market participants and witnesses. Evaluate evidence to conclude sufficiency with respect to suspected violations.
Assist with the evaluation of regulatory precedent to determine whether non-disciplinary or disciplinary actions are warranted. Recommend appropriate disposition to management for review.
Prepare clear and cohesive case reports detailing findings to management and disciplinary committees. Present work that is complete and requires minimal revisions.
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 Exchange(s) 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.
Draft procedures, to share and maintain knowledge about Division’s operations.
Collaborate and communicate with cross-functional teams to enhance or create solutions and make the team more effective and efficient.
Participate in special projects as assigned.
Requirements and skills:
High degree of professional ethics and integrity
Sound judgment and ability to analyze situations and information
Outstanding communication skills
Self-motivated and able to successfully complete projects on time working both independently and within a team
High level of organization and attention to detail
PC skills required, working familiarity with MS Office suite (Word, PowerPoint, Excel)
Education:
Bachelor’s degree required; BSc degree in Law or J.D. degree (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.