The Senior Investigator will perform examinations, operate surveillances and conduct investigations into possible violations of CBOE Futures Exchange (CFE) and Commodity Futures Trading Commission (CFTC) rules and regulations governing Exchange activity.
Conduct examinations of CFE Trading Privilege Holders (TPHs) books and records, supervisory procedures, compliance, order messaging and Internal Controls to determine adherence with Exchange Rules
Design and operate Exchange surveillances to detect violations of CFE rules
Independently perform analysis of market data and trading activity to detect possible violations of Exchange rules and regulations
Investigate possible violations of rules governing trading activities. Independently manage investigative cases from inception to conclusion, completing investigations in a timely manner
Build and maintain a thorough understanding of CFE's trading and regulatory environment, as well as the broader futures industry. Actively participate in training/continuing education opportunities and meetings
Analyze evidence (data and information) to make determinations regarding whether the activity in question was violative. Perform thorough research, collect evidence and conduct fact-finding interviews of market participants and witnesses. Evaluate evidence to conclude sufficiency with respect to suspected violations.
Evaluate regulatory precedent to determine whether non-disciplinary or disciplinary actions are warranted. Recommend appropriate disposition to management for review
Prepare clear and cohesive case reports detailing findings to management and disciplinary committees. Present work that is complete and requires minimal revisions
Assists CBOE Legal Division with formal disciplinary proceedings, such as prosecution or settlement
Participate in special projects as assigned
3-5 years relevant experience in a regulatory or compliance environment
Working knowledge of derivatives markets and relevant rules and regulations
Excellent oral and written communication skills
Excellent interpersonal skills
Self-motivated and able to successfully complete projects on time working both independently and within a team
High level of organization and attention to detail
Strong analytical skills and the ability to apply quantitative and qualitative analysis
PC skills required; working familiarity with MS-Office suite, including Excel or similar products
Experience working with JIRA and SMARTS a plus
Cboe Global Markets is an Equal Opportunity Employer. For more information, please click the following links:Posted YesterdayFull timeR-1043
Cboe is always looking for intelligent, innovative and hard-working individuals. Our success is based on our talented team of industry and technology professionals, which we believe is the strongest in the industry, and we pride ourselves on hiring the best and brightest.