Ensures market integrity by conducting investigations of possible violations of Exchange Rules and Federal Securities Regulations.
As an Investigator in our Regulatory Services division, you will be responsible for:
This fast-paced environment requires flexibility related to priority shifts on short notice.
- Researching issues
- Conducting formal fact-finding interviews
- Collecting and evaluating evidence
- Composing investigative reports presenting evidence
- Making recommendations concerning appropriate regulatory disposition, and working with CBOE's Legal Division with respect to prosecution or settlement of formal disciplinary proceedings.
Preferred Skills and Experience:
- The candidate should possess a minimum of two years of previous work related experience.
- Working experience should also include a working knowledge of securities and derivatives markets, combined with a good working knowledge of the broader financial analysis.
- Proven PC skills within the work environment that includes frequent use of Microsoft Word and Excel.
- Highly organized with strong analytical skills including application of quantitative and qualitative analysis.
- Excellent verbal and written communication skills to include previous work experience that required preparing written analysis and documents.
- Self-motivated, inquisitive, and have the ability to complete projects and work assignments both working independently and as a team member.
- Ability to make rational judgments on complex matters.
- Bachelor's degree required.
- Knowledge of Exchange rules, policies, as well as floor trading procedures is highly preferred.
- Three (3) to six (6) years of work experience in one or more of the following areas in highly preferred: Securities or commodities futures trading, with experience in options and/or stock, analytical research, varied trading floor operations, back office, or retail securities/Series 7 experience.