Investigator, Regulation

Options Investigators in the Division are responsible for conducting focused investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities.

In this role, you can expect to:

• 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-the-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

• 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

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