Equities Investigations Analyst

Cboe Global Markets, Inc.; Overland Park (KS); Hybrid; USD 72,000 - 94,000; Full time

Benefits offered by this job

Health insurance

2:1 401(k) match

Paid time off

Tuition assistance

On-site gym

Job summary

Cboe Global Markets, Inc. seeks an Investigator for the Equities Investigations team in the United States.

You will conduct investigations into trading activity to assess possible violations of Exchange Rules and SEC regulations, applying evolving regulatory knowledge under management guidance. You will collaborate with Equities Surveillance, Enforcement, and other teams, prepare clear reports, present findings to management, and assist with disciplinary proceedings as needed.

Qualifications

• Bachelor’s degree required; degree in Finance, Law, Accounting, Economics, Business, or related field preferred.
• At least two years of experience in securities industry, regulatory environment, compliance, or related field.
• Experience with investigations, compliance, or trading surveillance is a plus.

Responsibilities

• Conduct investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules and By‑Laws and applicable SEC rules/regulations.
• Gather, organize, and analyze evidence across multiple data sources to support conclusions.
• Prepare investigative reports detailing findings with clear, cohesive documentation.
• Manage assigned investigations from inception to conclusion under supervision.
• Collaborate cross‑functionally with Equities Surveillance, Enforcement, and other teams to improve processes.
• Present case information to management and Enforcement with evidentiary support.
• Assist Enforcement with disciplinary proceedings and preparation of materials.
• Participate in training and developments to stay current with regulatory changes.

Skills

Regulatory Knowledge

Investigations

Data Analysis

Written Communication

Oral Communication

MS Excel

Regulatory Reporting

Education

Bachelor's degree

Tools

MS Office Suite

Trading Surveillance Tools

Job description

Cboe Global Markets, Inc. seeks an Investigator for the Equities Investigations team in the United States.

You will conduct investigations into trading activity to assess possible violations of Exchange Rules and SEC regulations, applying evolving regulatory knowledge under management guidance. You will collaborate with Equities Surveillance, Enforcement, and other teams, prepare clear reports, present findings to management, and assist with disciplinary proceedings as needed.