Investigator, Regulation

Cedar Cares, Inc; Chicago (IL); On-site; USD 79,000 - 103,000; Full time

Benefits offered by this job

Competitive salary

Health benefits

401(k) match

Paid time off

Tuition assistance

Lunch provided

Job summary

Cboe Global Markets seeks an Investigator in Regulation to support the Options investigations team in downtown Chicago.

You will manage investigations from inception to conclusion, analyze evidence, and prepare formal reports while collaborating with internal regulatory staff and external contacts.

Qualifications

• Bachelor's Degree required.
• 2 years of industry experience preferred.
• Strong affinity with financial markets.
• Excellent written and verbal communication.
• Regulatory, compliance, or legal environment experience preferred.

Responsibilities

• Independently manage investigations from inception to conclusion according to guidelines.
• Build understanding of trading and regulatory environments.
• Evaluate and analyze matters to identify potential violations with evidence.
• Prepare investigative reports with factual support.
• Assist in taking on-record testimonies as needed.
• Present case information to management and enforcement committees.
• Collaborate with cross-functional teams to enhance solutions.
• Participate in team projects and continuing education.

Skills

Communication

Analytical thinking

Research skills

Teamwork

Organizational skills

Self-motivated

Education

Bachelor's Degree

Tools

MS Office

Job description

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.

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
• 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.

Salary Ranges (applicable for US locations only)

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.

Contact

Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third‑party communication tools for recruiting purposes.

Cboe Global Markets is an Equal Opportunity Employer.

If you have further questions, please reach out to the Cboe HR team at [e-mail]

For more information, please click the following links: Equal Employment Opportunity is The Law (in English) Equal Employment Opportunity is The Law (in Spanish) Equal Employment Opportunity is The Law (Supplement) E‑Verify Participation Poster (English & Spanish) Right to Work Poster (English) Right to Work Poster (Spanish)

We recommend that you refrain from responding to Cboe recruitment emails that are not from a cboe.com email address and to file a complaint with the Internet Crime Complaint Center IC3 at https://www.ic3.gov/. If you have been contacted about a job opening at Cboe by someone that does not have a @cboe.com email, this is NOT a trusted source. Cboe only utilizes emails from @cboe.com or Linkedin messaging for recruitment purposes. Cboe does not use any other third‑party messaging applications. We recommend that you refrain from responding to Cboe recruitment emails that are not from a cboe.com email address and to file a complaint with the Internet Crime Complaint Center IC3 at https://www.ic3.gov/.