Sr Investigator

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 with a safe space to network, share ideas and create opportunities.

The Cboe Regulatory Division (the "Division") is actively seeking a highly motivated, and experienced professional to join our Futures SEF Regulatory team. The Senior Investigator will conduct both pattern based surveillance reviews and investigations to assist in determinations of potential rule violations of Cboe Futures Exchange ("CFE") and Cboe SEF (collectively, the "Exchanges") Rules, along with other applicable rules and regulations governing Exchange Members and Market Participants.

An individual in this role applies advanced functional and regulatory knowledge to solve non routine investigative problems, independently leads specialized work streams from inception to conclusion, and produces analysis and recommendations that others rely upon. The Sr. Investigator will be a recognized resource on the team; someone who brings both the technical expertise to handle complex analysis of surveillance alerts and investigations and the professional acumen to mentor less experienced colleagues and represent the Division in multi stakeholder settings.

Work Location:

Office location:
Chicago, IL. To support strong partnership and team connection, this role follows a four day in office work model.

• Conduct surveillance and analysis of order entry and trading activity on the Exchanges to detect potential violations of CFE and SEF rules and policies, utilizing surveillance systems along with SQL or advanced Excel (Power Query, pivot tables, complex formulas).
• Contribute to new surveillance processes and operational methodologies, including data pipelines, query logic, and tuning of alert thresholds to address evolving regulatory concerns.
• Conduct rule based investigations and to ensure compliance with Exchanges rules; prepare structured memos that clearly lay out evidence, rationale, and conclusions.
• Manage investigations independently from inception to conclusion, meeting expected guidelines and quality standards throughout all stages, including evidence collection, analysis, and case resolution.
• Prepare investigative reports detailing findings in a clear, cohesive, and well supported manner.
• Utilize Division guidelines for style and form, and present complete work product requiring minimal revisions.
• Serve as a mentor and subject matter resource for junior staff; assist management in training and developing less experienced investigators, including reviewing work product, sharing investigative techniques, and providing guidance on regulatory interpretations.
• Collaborate cross-functionally with other relevant teams to enhance surveillance and investigative processes; create solutions that improve team effectiveness and efficiency; and support a cohesive Regulatory Program.
• Present case information to…