Lead Investigator, Regulation

* Independently manage investigations from inception to conclusion and completing investigation steps in a timely manner that meet expected guidelines
* Build and maintain a thorough understanding of the Exchanges trading and regulatory environments, as well as the broader securities industry, in areas such as markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative techniques, while contributing to the creation of new investigative processes that address potential regulatory concerns
* Evaluate and analyze matters to identify potential violations as well as the types of evidence, including data and information, necessary to determine whether the activity in question was violative or otherwise improper via thorough research, collection of evidence and fact-finding
* Evaluate and analyze evidence to conclude sufficiency with respect to suspected violations through case law and/or precedent to determine whether non-disciplinary or disciplinary actions are warranted. Recommend appropriate disposition to management for review.
* Prepare investigative reports detailing findings in a clear, cohesive manner supported by factual evidence and analysis. Utilize Division guidelines for style and form; present work that is complete and requires minimal revisions.
* Assist in taking on-the-record testimonies, as required
* Present case information to management and Enforcement committees, including formal disciplinary proceedings
* Professionally interact with internal regulatory staff and external contacts, such as Members, other Self-Regulatory Organizations, and the SEC
* Collaborate and communicate with cross-functional teams, particularly the Options Surveillance and Enforcement team to enhance or create solutions
* Actively participate in team projects, discussions and problem solving
* Coach and mentor junior investigators on the team
* Actively participate in training/continuing education opportunities and meetings
* Bachelor's Degree
* Five years of Industry experience is required
* Strong affinity with financial markets
* Highly self-motivated and driven
* Excellent communication and teamwork skills
* Exceptional written, analytical, and research skills
* Strong organizational and planning skills
* Must be proficient in MS-Office suite, including Excel
* Experience in a regulatory, compliance, and/or legal environment is preferred
** Benefits and Perks
** We value the total wellbeing of our people – including health, financial, personal given at any organization. Still, you should know what we offer: and social wellness. We believe standard benefits like health insurance and fair pay are 401K or Pension Company Match Voluntary & Additional Benefits 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.

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
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