Ensures market integrity by conducting investigations of possible violations of Exchange Rules and Federal Securities Regulations
Duties and Responsibilities:
As an Investigator in our Regulatory Services division, you will be responsible for researching issues, conducting formal fact-finding interviews, collecting and evaluating evidence and composing investigative reports presenting evidence and recommendations concerning appropriate regulatory disposition, and working with CBOE's Legal Division with respect to prosecution or settlement of formal disciplinary proceedings. This fast-paced environment requires flexibility related to priority shifts on short notice.
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 the ability to complete projects and work assignments both working independently and as a member of a team.
- Ability to make rational judgments on complex matters.
- Bachelors 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 is highly preferred: Securities or commodities futures regulation, securities or commodities futures trading, with experience in options and/or stock, analytical research, varied trading floor operations, back office, or retail securities/Series 7experience.
Chicago Board Options Exchange - 12 months ago
Chicago Board Options Exchange, the world's largest options marketplace and creator of listed options, is regulated by the Securities and Ex...