Investigator
Core
Investigate trading activities of Exchange Members to detect violations of Cboe Exchange rules and SEC regulations.
Role type
Equities Investigator (Regulatory)
Builds
Investigative reports and evidence analysis supporting enforcement determinations
Domain
Financial Services / Securities Regulation / Equities Markets
Deliverable
client delivery
Required skills
Analyze trading data for patterns and anomalies, Draft investigative reports, Manage investigations from inception to conclusion, Collaborate cross-functionally with surveillance and enforcement teams, Present case findings to management and external regulators, Apply regulatory judgment across multiple data sources
Preferred skills
Data querying tools proficiency, Trading surveillance platforms experience, Experience with SROs, SEC, or FINRA
Technologies
MS Office Suite, Excel
Responsibilities
Conduct investigations of trading activities to detect rule violations, Gather and analyze evidence across multiple data sources, Prepare detailed investigative reports, Manage assigned investigations to conclusion, Collaborate with Equities Surveillance and Enforcement teams, Assist with formal disciplinary proceedings
Seniority
Mid-level, hands-on IC
