Sr. Investigator
Core
Conduct independent investigations into trading activities to detect violations of Exchange Rules, By-Laws, and SEC regulations, producing analysis and recommendations for enforcement actions.
Role type
Senior Equities Investigator (Regulatory)
Builds
Enforcement case files and regulatory compliance determinations for Cboe Exchanges
Domain
Financial Services / Securities Regulation / Market Surveillance
Deliverable
client delivery
Required skills
U.S. equities market structure knowledge, regulatory judgment, complex data analysis, independent case management, mentorship, cross-functional collaboration, formal testimony preparation
Preferred skills
SRO/SEC/FINRA experience, trading surveillance platform proficiency, data querying tools
Technologies
MS Office Suite, Excel, trading surveillance platforms
Responsibilities
Conduct independent investigations of trading activities to detect rule violations; Prepare investigative reports detailing findings; Manage investigations from inception to conclusion; Serve as a mentor and subject matter resource for junior staff; Collaborate cross-functionally with Surveillance and Enforcement teams; Present case information to management and Enforcement teams; Assist with formal disciplinary proceedings; Participate in on-the-record testimonies
Seniority
Senior, hands-on IC with mentorship duties
