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Cboe Global Markets

Investigator

Location

Chicago, Illinois, United States of America

Category

Regulatory

Job Id

R-4295

Hybrid

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.

We’re building meaningful 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. We strive to provide employees a safe space to network, share ideas and create opportunities.

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.

Role Overview

The 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.

Your responsibilities will be:

Perform regular in-depth and timely surveillance of TPH organizations, understand the business model and risks presented by the TPH and identify potential financial and operational difficulties. Review and analyze regulatory filings and other data obtained from TPH organizations. Use in-house systems to conduct intra-day and monthly review of financial data submitted. Record results of reviews and determine what issues noted during daily and monthly surveillance need to be escalated and further investigated.
Act as a Subject Matter Expert for various financial areas.
Act as a liaison and communicate continuously with assigned TPH firms. Address questions, handle requests and provide interpretations of CFE and CFTC rules in accordance with Regulatory Division policy.
Act as a liaison and communicate with the Options Clearing Corporation (OCC) the cleaning house for CFE to assess and monitor the financial condition of clearing members and the protection of customer funds.
Produce summary reports related to a TPH’s financial stability and performance
Perform detailed analysis of trade data, upon request, in order to isolate areas of regulatory concern.
Build and maintain a thorough understanding of CFE and Cboe’s trading and regulatory environment, as well as the broader futures and securities industry.(markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative techniques). Actively participate in training/continuing education opportunities and meetings, including annual ethics training.
May conduct investigations, pre-membership reviews, and assist in Cboe oversight of regulatory program.
Conduct examinations of CFE Trading Privilege Holders’ (TPH’s) 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 discussions, problem solving training/continuing education opportunities and meetings and participate in special projects as assigned
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
Assist Cboe Enforcement with formal disciplinary proceedings, such as prosecution or settlement
Participate in special projects as assigned.

The ideal candidate has :

Bachelor's Degree in Economics, Business, Finance or related field
2+ 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 Tableau JIRA and SMARTS a plus
Experience with relational databases (SQL, VBA, Access) preferred
Experience in computer science, mathematics, data analytics, statistics, informatics, economics, or similar concentration
Must demonstrate a solid understanding of the fundamental factors that influence the price of Exchange contracts
Experience or coursework in computer science, mathematics, data analytics, statistics, or informatics a plus

Benefits and Perks of working for Cboe Global Markets

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

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 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.

#LI-HL

#LI-HYBRID

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.

Our pay ranges are determined by a number of factors, including, but not limited to, role, experience, level, and location. The national new hire base pay range for this job in the United States is $72,250-$89,250. This range represents the minimum and maximum base pay the company expects to offer for new hires working in the position full time. If you live in one of the following areas or if you work in a Cboe office in the following areas, the range may be higher according to the geographic differentials listed below:

US Geographic Differentials:

110%: Austin TX, Chicago IL, Denver CO, San Diego CA

115%: Los Angeles CA, Seattle WA

120%: Boston MA, Washington DC

125%: New York City NY

130%: San Francisco CA

Within the range, individual pay is determined by a number of factors, including, but not limited to, work location, job-related skills, experience, and relevant education or training. In addition to base pay, our total rewards program includes an annual variable pay program and benefits including healthcare (medical, dental and vision), 401 (k) with a generous company match, life and disability insurance, paid time off, market-leading tuition assistance, and much more! Your recruiter will provide more details about the total compensation package, including variable pay and benefits, during the hiring process. For further information on our total rewards program, visit TOTAL REWARDS @CBOE.

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.

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