Sr. Investigator

Cboe Global Markets; Kansas City (MO); Hybrid; USD 89,250 - 115,500; Full time

Benefits offered by this job

Hybrid work environment

Health, dental and vision benefits

401(k) match

Paid time off

Tuition assistance

Lunch provided in office

Job summary

Cboe Global Markets is seeking a Sr. Investigator for the Equities Investigations team in the Kansas City area.

You will lead complex investigations into trading activity of Exchange Members and produce cohesive reports to support rule interpretations and regulatory actions. The role requires a Bachelor's degree and 3–5 years of securities/regulatory experience, with strong data analysis and reporting skills.

Qualifications

• Bachelor’s degree or equivalent required; degree in Finance, Law, Accounting, Economics, Business, or related field preferred.
• 3–5 years experience in securities, regulatory, or investigative fields with ability to manage independent investigations.
• Experience with SROs/SEC or similar regulatory bodies strongly preferred.

Responsibilities

• Conduct independent, complex investigations of trading activities to detect possible violations of Exchange Rules and SEC rules.
• Prepare investigative reports detailing findings clearly and cohesively, following division guidelines.
• Manage investigations from inception to conclusion, meeting quality standards and timelines.
• Mentor junior staff and train less experienced investigators; collaborate across teams to improve processes.
• Present case findings to management and Enforcement, and support disciplinary proceedings as needed.

Skills

Regulatory investigations

Data analysis

Report writing

Stakeholder collaboration

Oral communication

Education

Bachelor's degree

Tools

MS Excel

Trading data analysis tools

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.

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

Position Summary

The Cboe Regulatory Division is actively seeking a highly motivated and experienced professional to join the Equities Investigations team. The Sr. Investigator performs independent, specialized 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 and other applicable rules and regulations. The investigator applies advanced functional and regulatory knowledge to solve non‑routine investigative problems, independently leads specialized workstreams from inception to conclusion, and produces analysis and recommendations that others rely upon.

Duties and Responsibilities

• Conduct independent, complex investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules and By‑Laws, interpretations and policies thereunder, and applicable SEC rules and regulations.
• Prepare investigative reports detailing findings in a clear, cohesive, and well‑supported manner, utilizing Division guidelines for style and form.
• Manage investigations independently from inception to conclusion, meeting expected guidelines and quality standards throughout all stages.
• Serve as a mentor and subject‑matter resource for junior staff; assist management in training and developing less experienced investigators.
• Collaborate cross‑functionally with the Equities Surveillance, Enforcement, and other relevant teams to enhance investigative processes and support a cohesive Regulatory Program.
• Present case information to management and Enforcement teams, articulating investigative findings and recommended outcomes clearly and persuasively.
• Assist Enforcement with formal disciplinary proceedings, including preparation of materials and participation in related processes.
• Actively participate in team projects, discussions, and problem solving, contributing to the development of new investigative processes and methodologies.
• Participate in on‑record testimonies, as required; prepare relevant materials and conduct proceedings with professionalism and regulatory precision.
• Participate in training and continuing education opportunities, industry developments, and team meetings to maintain a current and comprehensive understanding of the equities regulatory environment.

Requirements

Education

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

Experience

• Minimum 3‑5 years of experience in the securities industry, regulatory environment, compliance, or a related legal/investigative field.
• Demonstrated experience conducting or managing investigations, with the ability to work independently on complex, non‑routine matters.
• Experience working with or at a Self‑Regulatory Organization (SRO), the SEC, FINRA, or a similar regulatory body is strongly preferred.

Knowledge & Skills

• Strong working knowledge of U.S. equities markets, market structure, and trading operations, including an understanding of the Exchanges’ rules and applicable SEC rules and regulations.
• Proficiency in analyzing large volumes of trading data to identify patterns, anomalies, and potential violations; experience with data querying tools or trading surveillance platforms is a plus.
• Exceptional written communication skills, including the ability to draft clear, well‑organized investigative reports with minimal supervision.
• Strong verbal communication skills; ability to present case findings credibly to management, the Enforcement team, and external parties including the SEC and other SROs.
• High level of analytical ability and sound judgment in evaluating evidence, applying regulatory precedent, and recommending appropriate case dispositions.
• Strong organizational skills and attention to detail, with the ability to manage multiple active investigations simultaneously under defined timelines.
• 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

• 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.
• Flexible, hybrid work environment.
• 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.

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.

Equal Employment Opportunity

We’re proud to be an equal‑opportunity employer and 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.

Visa Sponsorship

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 $89,250–$115,500, 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.