Senior Investigator
Core
Conduct independent investigations into trading activities on Cboe options exchanges to detect violations of Exchange Rules, SEC regulations, and other applicable laws.
Role type
Senior Investigator (Regulatory/Compliance)
Builds
Investigative reports and case files for disciplinary proceedings
Domain
Financial markets, Options trading, Securities regulation
Deliverable
client delivery
Required skills
Independent investigation management, Evidence analysis and fact-finding, Case law and precedent evaluation, Regulatory rule interpretation, Report writing, Testimony taking, Cross-functional collaboration
Preferred skills
Experience in regulatory/compliance/legal environments, Knowledge of securities industry markets and products
Technologies
MS-Office suite (Excel)
Responsibilities
Manage investigations from inception to conclusion, Evaluate evidence to determine sufficiency for disciplinary actions, Prepare investigative reports, Present case information to management and enforcement committees, Interact with external contacts (Members, SROs, SEC), Participate in training and continuing education
Seniority
Senior, hands-on IC
