Investigator

Cboe Global Markets, Inc.; Kansas City (MO); On-site; USD 72,000 - 94,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Paid time off

Tuition assistance

On-site gym

Job summary

Cboe Global Markets, Inc. invites a motivated professional to join the Equities Investigations team. The Investigator will conduct investigations into trading activity to support determinations on potential violations across Cboe exchanges and applicable rules.

The role requires regulatory knowledge and strong analytical skills. You will collaborate with Surveillance, Enforcement, and other teams, presenting findings and supporting materials to management and the SEC where needed.

Qualifications

• Bachelor's degree required; Finance, Law, Accounting, Economics, Business or related field preferred.
• At least two years of experience in securities, regulatory, compliance, or investigative field.
• Experience with SROs, SEC, FINRA, or similar regulatory bodies is a plus.

Responsibilities

• Investigate trading activity to identify potential rule violations.
• Gather, organize, and analyze evidence from multiple sources.
• Prepare clear investigative reports with supporting documentation.

Skills

Regulatory knowledge

Analytical thinking

Written communication

Verbal communication

MS Office (Excel)

Education

Bachelor's degree

Tools

Trading surveillance tools

Job description

Job Description

Building trusted markets — powered by our people

At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting‑edge trading, clearing and investment solutions to market participants around the world.

Location Overview

Cboe Global Markets operates a key office in the Overland Park Xchange (OPx), located in Overland Park, Kansas, a bustling suburb of Kansas City. The OPx business park is strategically positioned to provide convenient access to the Kansas City metropolitan area, offering modern infrastructure and a collaborative environment ideal for the financial services and technology industries. This location benefits from proximity to major highways, making it easily accessible for employees

The OPx site provides a balance of high‑quality office space, advanced facilities, and an environment conducive to productivity and growth.

Position Summary

The Cboe Regulatory Division (the "Division") is actively seeking a motivated professional to join the Equities Investigations team. The Investigator conducts investigations into the trading activity of Exchange Members to assist in determinations regarding possible violations of the rules of Cboe BZX, BYX, EDGA, and EDGX Exchanges (collectively, the "Exchanges") and other applicable rules and regulations. An individual in this role applies developing functional and regulatory knowledge to investigate assigned matters under the guidance of management.

Duties and Responsibilities

• Conduct investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules and By‑Laws — and the interpretations and policies thereunder — and applicable SEC rules and regulations. Analyze evidence, apply regulatory judgment across multiple data sources, and determine appropriate disposition.
• Gather, organize, and analyze evidence across multiple data sources to support investigative conclusions and disposition recommendations.
• Prepare investigative reports detailing findings in a clear, cohesive, and well‑supported manner, utilizing Division guidelines for style and form.
• Manage assigned investigations from inception to conclusion, meeting expected guidelines and quality standards throughout all stages, including evidence collection, analysis, and case resolution.
• Collaborate cross‑functionally with Equities Surveillance, Enforcement, and other relevant teams to enhance investigative processes; create solutions that improve team effectiveness and efficiency; and support a cohesive Regulatory Program.
• Present case information to management and Enforcement teams, by articulating investigative findings, evidentiary support, and recommended outcomes clearly and persuasively.
• Assist Enforcement with formal disciplinary proceedings, including preparation of supporting materials, as required.
• Actively participate in team projects, discussions, and problem solving, including contributing to the development of new investigative processes and methodologies that address emerging regulatory concerns.
• Participate in on‑the‑record testimonies as required, assisting with preparation of relevant materials.
• Participate in training and continuing education opportunities, industry developments, and team meetings to build and maintain a working understanding of the equities regulatory environment.

Requirements

Education

• Bachelor's degree required; degree(s) in Finance, Law, Accounting, Economics, Business, or a related field preferred.

Experience

• At least two years of experience in the securities industry, regulatory environment, compliance, or a related legal/investigative field.
• Prior experience related to investigations, compliance, or trading surveillance is a plus.
• Experience working with or at a Self‑Regulatory Organization ("SRO"), the SEC, FINRA, or a similar regulatory body is a plus, though not required.

Knowledge & Skills

• Working knowledge of, or demonstrated aptitude to quickly learn, U.S. equities markets, market structure, and trading operations, including the Exchanges' rules and applicable SEC rules and regulations.
• Ability to analyze trading data to identify patterns, anomalies, and potential violations, with growing proficiency in data querying tools or trading surveillance platforms.
• Strong written communication skills, including the ability to draft organized investigative reports.
• Strong verbal communication skills; ability to present case findings credibly to management, the Enforcement team, and external parties including the SEC and other SROs.
• Sound analytical ability and developing judgment in evaluating evidence and understanding regulatory context.
• Strong organizational skills and attention to detail, with the ability to manage multiple assigned investigations simultaneously under defined timelines and supervision.
• Proficiency in MS Office Suite, including Excel; ability to use data analysis tools relevant to trading surveillance is a plus.

Benefits And Perks Of Working For Cboe Global Markets

We value the total wellbeing of our people – including health, financial, personal and social wellness. We believe standard benefits like health insurance and fair pay are a given at any organization. Still, you should know we offer:

• Fair and competitive salary and incentive compensation packages with an upside for overachievement
• Generous paid time off, including vacation, personal days, sick days and annual community service days
• Health, dental and vision benefits, including access to telemedicine and mental health services
• 2:1 401(k) match, up to 8% match immediately upon hire
• Discounted Employee Stock Purchase Plan
• Tax Savings Accounts for health, dependent and transportation
• Employee referral bonus program
• Volunteer opportunities to help you give back to your communities

Some of our associates’ favorite benefits and perks include:

• Complimentary lunch, snacks and coffee in any Cboe office
• Paid Tuition assistance and education opportunities
• Generous charitable giving company match
• Paid parental leave and fertility benefits
• On‑site gyms and discounts to other fitness centers
• Paid Time Off

More About Cboe Global Markets

We’re reimagining the future of the workplace by focusing on what matters most, our people. Our journey is an inclusive one. We’re investing deeply in leadership programs and career development initiatives that ensure everyone has an equal chance to succeed.

We work with purpose, solving problems with ingenuity, collaboration, and a lot of passion. We’re an engaged and excited team connecting markets across borders and embracing growth in all its forms to achieve incredible outcomes.

Learn more about life at Cboe on our website and LinkedIn.

Equal Employment Opportunity

We're proud to be an equal opportunity employer who does not discriminate against any employee or applicant for employment based on any legally protected characteristic, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or veteran status. We are committed to fostering a workplace where all individuals are valued and respected.

This position is not eligible for visa sponsorship

Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future.

Salary Ranges (applicable for US locations only)

At Cboe, we are committed to providing a competitive, transparent, and market‑informed total rewards program. The anticipated base salary range for this role is $72,250-$93,500, with actual compensation determined by job‑related factors such as skills, relevant experience, education, internal alignment, and location.

This role may also be eligible for annual incentive compensation and, where applicable, participation in Cboe's long‑term equity programs.

Additional information about Cboe's total rewards program, including benefits and other compensation components, can be found here: Total Rewards at CBOE.