Futures Investigations Manager Futures Investigations Manager …

Cboe
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Competitive
Cboe
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Competitive
Futures Investigations Manager
Futures Investigations Manager Chicago, IL/en-US/External_Career_CBOE/job/Chicago-IL/Futures-Investigations-Manager_R-0964/apply Job Description

Summary

Performs surveillance, investigative and examination activities of a complex nature to assist in determinations regarding possible violations of Cboe Futures Exchange (CFE) rules, federal commodities and securities regulations and other applicable rules and regulations governing CFE Trading Privilege Holder (TPH) and market participants. Assists TPHs and market participants with questions regarding Exchange rules, policies and procedures. Trains, mentors and reviews work product of investigators in conducting surveillances, investigations and examinations.

Responsibilities

  • Reviews the investigative and other review work product related to CFE TPH books and record keeping practices and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements
  • Oversee regular in-depth and timely review and analysis of market data and trading activity to detect possible violations of rules and regulations
  • Investigate complex situations involving possible violations of rules governing trading activities
  • Review investigators work as they manage investigative cases from inception to conclusion to ensure completion of investigation steps in a timely manner and that meets expected guidelines
  • Maintain a thorough understanding of CFEs trading and regulatory environment, as well as the broader futures and securities industry, in areas such as markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative techniques. Actively participate in training/continuing education opportunities and meetings. Act as a subject matter expert on specific rule areas, as assigned
  • Act as liaison to CFEs regulatory services provider on key topics, as assigned. Assist investigators with analysis of reports from CFEs regulatory services provider regarding potential violations of CFE rules to determine appropriate action. Format the material provided into an investigative case report for approval from departmental leadership and, if applicable, the disciplinary committee
  • Assist investigators as they analyze situations to identify issues involved and types of evidence (data and information) necessary to determine whether the activity in question was violative. Guide them to perform thorough research, collect evidence and conduct fact-finding interviews of market participants, witnesses or other involved parties. Review developed interview questions to thoroughly address all aspects of particular situations and gather appropriate information
  • Evaluate and analyze evidence to conclude sufficiency with respect to suspected violations. Evaluate case law and/or precedent to determine whether non-disciplinary or disciplinary actions are warranted, depending upon the nature and severity of the incident. Recommend appropriate disposition to management for review
  • Review investigative case reports detailing findings in a clear, cohesive manner supported by factual evidence and analysis. Ensure compliance with departmental guidelines for style and form; present work that is completes and requires minimal revisions
  • Conduct regular meetings with investigators to assess case status, identify impediments hindering completion of case work, provide feedback and grant approval for cases to proceed to the next step in the disciplinary process
  • Present case information to management and disciplinary committees
  • Assist CFE Enforcement with formal disciplinary proceedings, such as prosecution or settlement
  • Professionally interact with internal regulatory staff and external contacts (such as Self-Regulatory Organizations, TPHs, and CFTC). Actively participate in team and corporate projects, discussions and problem solving
  • Maintain knowledge about the exception generation process for automated surveillances, identifying necessary enhancements to make such tools more effective and efficient. Act as the key contact for business analysts and systems development to articulate business requirements for new or enhanced surveillance tools. Lead the User Acceptance Testing (UAT) process for new and enhanced surveillance tools and advise departmental leadership of the status of UAT testing
  • Mentor investigators; provide training to CFER staff on processes, tools and rules. Provide feedback on quality of work for performance assessment and identifying any needs for professional development or training
  • Participate in special projects as assigned

Qualifications

  • Bachelors degree required; Economics, Business, Accounting or Finance is preferred. A Graduate or Law Degree is a plus. Coursework related to computer programming or statistical analysis is strongly preferred
  • Minimum of six years relevant experience in the financial industry with market regulation or internal audit. Experience with markets regulated by the CFTC and previously supervisory experience are preferred
  • Advanced knowledge of derivatives markets as well as a working knowledge of other related financial markets
  • Advanced knowledge of rules and regulations as they apply to trading procedures, obligations of TPHs and business conduct
  • Excellent interpersonal, communication, and presentation skills with the ability to effectively interact with internal and external stakeholders
  • Ability to lead and motivate assigned staff in performance of job duties
  • Ability to multi-task
  • High level of organization and attention to detail
  • Strong analytical skills and the ability to apply quantitative and qualitative analysis
  • PC skills required; working familiarity with MS-Office suite, including Excel or similar products

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Cboe Global Markets is an Equal Opportunity Employer. For more information, please click the following links:

Posted 4 Days AgoFull timeR-0964

Cboe is always looking for intelligent, innovative and hard-working individuals. Our success is based on our talented team of industry and technology professionals, which we believe is the strongest in the industry, and we pride ourselves on hiring the best and brightest.

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