Investigator, Finance & Banking, Financial Consultant

** Location Overview
** 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 work spaces, creating a vibrant and dynamic work environment in one of Chicago's most iconic areas.
** Role Overview*
* ** 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.
*…