Investigator, Regulation

Cboe Global Markets, Inc.; Chicago (IL); Presencial; USD 79 000 - 103 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Salary and incentive packages

Paid time off

Health, dental and vision benefits

401(k) with company match

Tuition assistance

Employee referral program

Volunteer opportunities

Resumo da oferta

Cboe Global Markets in Chicago is seeking an Investigator, Regulation to join the Regulatory Division. You will manage investigations from inception to conclusion and help determine potential violations of Exchange Rules and related regulations.

You’ll work with internal teams and external contacts, present findings to management, and contribute to cross-functional projects in a four-day in-office model at our historic Old Post Office district HQ.

Qualificações

• Bachelor's degree required.
• Two years industry experience preferred.
• Strong affinity with financial markets.
• Excellent communication and teamwork skills.
• Exceptional written, analytical, and research skills.
• Strong organizational and planning skills.
• Proficiency in MS Office including Excel.
• Experience in regulatory, compliance, or legal environment preferred.

Responsabilidades

• Independently manage investigations from inception to conclusion.
• Build understanding of trading regulatory environments and identify issues.
• Evaluate evidence to determine potential violations via research and fact-finding.
• Prepare investigative reports with clear findings and analysis.
• Interact with internal staff and external contacts as required.
• Present case information to management and Enforcement committees.
• Collaborate with cross-functional teams to enhance solutions.
• Participate in training and meetings.

Conhecimentos

Financial markets affinity

Communication

Teamwork

Analytical skills

Research skills

Organization

Formação académica

Bachelor's Degree

Ferramentas

MS Office (Excel)

Descrição da oferta de emprego

Job Description:

Investigator, Regulation

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.

We're building inclusive ways to support professional and personal development while strengthening the trust we've earned as a global market leader. Our teams are empowered to share ideas, actively pursue them and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to \"go for it\" and equip our managers with the training to coach their teams to the next level. Our Associate Resource Groups champion diversity, equity and inclusion, giving employees a safe space to network, share ideas and create opportunities.

Sound like the place for you? Join us!

Our Team:

The Cboe Regulatory Division is responsible for the oversight of the markets for which it has regulatory responsibility and market participants. The Division endeavors to achieve this goal through effective and efficient surveillance, examination, and investigative programs aimed at detecting and disciplining or preventing violative or otherwise inappropriate behavior.

The Division is actively seeking a highly motivated individual to join our options investigations team and perform investigative activities to assist in determinations regarding possible violations of Cboe, Cboe C2, Cboe BZX, and Cboe EDGX Options Exchange (collectively, the \"Exchanges\") Rules and other applicable rules and regulations governing Exchange Members and Trading Permit Holders (\"TPH\").

Location Overview

Cboe HQ is located in the historic Old Post Office district, it's a landmark that blends classic architecture with modern amenities. The building features expansive spaces with high ceilings and large windows, offering an abundance of natural light and panoramic views of the city skyline and the Chicago River.

With its prime location in the heart of downtown, the OPO Building provides easy access to major transportation hubs, including Union Station and multiple CTA lines, making it convenient for commuters. The building is home to a variety of amenities, including restaurants, a fitness center, and collaborative workspaces, creating a vibrant and dynamic work environment in one of Chicago's most iconic areas.

PLEASE NOTE: To support strong partnership and team connection, this role follows a four day in office work model.

What You’ll Do:

• Independently manage investigations from inception to conclusion and completing investigation steps in a timely manner that meet expected guidelines


• Build and maintain a thorough understanding of the Exchanges trading and regulatory environments, as well as the broader securities industry, in areas such as markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative techniques, while contributing to the creation of new investigative processes that address potential regulatory concerns


• Evaluate and analyze matters to identify potential violations as well as the types of evidence, including data and information, necessary to determine whether the activity in question was violative or otherwise improper via thorough research, collection of evidence and fact-finding


• Evaluate and analyze evidence to conclude sufficiency with respect to suspected violations through case law and/or precedent to determine whether non-disciplinary or disciplinary actions are warranted. Recommend appropriate disposition to management for review.


• Prepare investigative reports detailing findings in a clear, cohesive manner supported by factual evidence and analysis. Utilize Division guidelines for style and form; present work that is complete and requires minimal revisions.


• Assist in taking on-record testimonies, as required


• Present case information to management and Enforcement committees, including formal disciplinary proceedings


• Professionally interact with internal regulatory staff and external contacts, such as Members, other Self-Regulatory Organizations, and the SEC


• Collaborate and communicate with cross-functional teams, particularly the Options Surveillance and Enforcement team to enhance or create solutions


• Actively participate in team projects, discussions and problem solving


• Actively participate in training/continuing education opportunities and meetings

What You’ll Need:

• Bachelor's Degree


• Two years of Industry experience preferred


• Strong affinity with financial markets


• Highly self-motivated and driven


• Excellent communication and teamwork skills


• Exceptional written, analytical, and research skills


• Strong organizational and planning skills


• Must be proficient in MS-Office suite, including Excel


• Experience in a regulatory, compliance, and/or legal environment is preferred

Benefits And Perks Of Working For Cboe Global Markets

• 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 do 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 $79,475-$102,850, 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.