Investigator
$72,250–$93,500 year
On-siteKansas City, Missouri, United States
Job Summary
Conduct investigations of trading activities on Cboe Exchanges to detect violations of Exchange Rules, By-Laws, and applicable SEC regulations. Analyze evidence across multiple data sources, apply regulatory judgment, and determine appropriate dispositions for assigned matters. Prepare investigative reports detailing findings and manage cases from inception to conclusion, including evidence collection and case resolution. Collaborate cross-functionally with Surveillance and Enforcement teams to enhance processes, present case information to management, and assist with formal disciplinary proceedings. Participate in on-the-record testimonies and contribute to developing new investigative methodologies. Requires a Bachelor's degree, two years of securities industry experience, and proficiency in data analysis tools. Base salary ranges from $72,250 to $93,500; no visa sponsorship available.
Required Qualifications
- Bachelor's degree
- Degree(s) in Finance, Law, Accounting, Economics, Business, or a related field
- At least two years of experience in the securities industry, regulatory environment, compliance, or a related legal/investigative field
- Working knowledge of, or demonstrated aptitude to quickly learn, U.S. equities markets, market structure, and trading operations, including the Exchanges' rules and applicable SEC rules and regulations
- Ability to analyze trading data to identify patterns, anomalies, and potential violations, with growing proficiency in data querying tools or trading surveillance platforms
- Strong written communication skills, including the ability to draft organized investigative reports
- Strong verbal communication skills; ability to present case findings credibly to management, the Enforcement team, and external parties including the SEC and other SROs
- Sound analytical ability and developing judgment in evaluating evidence and understanding regulatory context
- Strong organizational skills and attention to detail, with the ability to manage multiple assigned investigations simultaneously under defined timelines and supervision
- Proficiency in MS Office Suite, including Excel
- Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future
Desired Qualifications
- Degree(s) in Finance, Law, Accounting, Economics, Business, or a related field preferred
- Prior experience related to investigations, compliance, or trading surveillance
- Experience working with or at a Self-Regulatory Organization ("SRO"), the SEC, FINRA, or a similar regulatory body
- Ability to use data analysis tools relevant to trading surveillance
- Prior experience related to investigations, compliance, or trading surveillance is a plus
- Experience working with or at a Self-Regulatory Organization ("SRO"), the SEC, FINRA, or a similar regulatory body is a plus
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