Senior Investigator Senior Investigator …

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
Senior Investigator
Senior Investigator Chicago, IL/en-US/External_Career_CBOE/job/Chicago-IL/Senior-Investigator_R-1043/apply Job Description

The Senior Investigator will perform examinations, operate surveillances and conduct investigations into possible violations of CBOE Futures Exchange (CFE) and Commodity Futures Trading Commission (CFTC) rules and regulations governing Exchange activity.

Responsibilities

  • Conduct examinations of CFE Trading Privilege Holders (TPHs) books and records, supervisory procedures, compliance, order messaging and Internal Controls to determine adherence with Exchange Rules

  • Design and operate Exchange surveillances to detect violations of CFE rules

  • Independently perform analysis of market data and trading activity to detect possible violations of Exchange rules and regulations

  • Investigate possible violations of rules governing trading activities. Independently manage investigative cases from inception to conclusion, completing investigations in a timely manner

  • Build and maintain a thorough understanding of CFE's trading and regulatory environment, as well as the broader futures industry. Actively participate in training/continuing education opportunities and meetings

  • 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.

  • Evaluate 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

  • Assists CBOE Legal Division with formal disciplinary proceedings, such as prosecution or settlement

  • Participate in special projects as assigned

Requirements

  • Bachelor's Degree

  • 3-5 years relevant experience in a regulatory or compliance environment

  • Working knowledge of derivatives markets and relevant rules and regulations

  • Excellent oral and written communication skills

  • Excellent interpersonal 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

  • 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

  • Experience working with JIRA and SMARTS a plus

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

Posted YesterdayFull timeR-1043

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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