Investigator - Regulation



Chicago, IL, USA
Posted on Tuesday, November 7, 2023

Job Description

CFE Regulatory Investigator

The Cboe Futures Exchange Regulation Investigator will conduct large dataset analysis, perform examinations, operate surveillances and conduct investigations into possible violations of Cboe Futures Exchange (CFE) and Commodity Futures Trading Commission (CFTC) rules and regulations governing Exchange activity.


  • Pull and manage large datasets for analysis using high performance computing environments and interact with business intelligence systems and data visualization platforms

  • 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

  • Perform analysis of market data and trading activity to detect possible violations of Exchange rules and regulations

  • 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

  • Build and maintain a thorough understanding of CFE's trading and regulatory environment, as well as the broader futures industry.

  • Actively participate in training/continuing education opportunities and meetings

  • Assist with evaluation of 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

  • Actively participate in team projects, discussions and problem solving. Participate in special projects as assigned

Knowledge, Skills and Abilities

  • Strong analytical skills and the ability to apply quantitative and qualitative analysis

  • PC skills required; working familiarity with MS-Office suite (Word, Power Point, Excel (functions, pivot, macros, VBA)

  • Experience with relational databases (SQL, VBA, Access) or data visualization software (Tableau) and/or Snowflake preferred

  • Excellent oral and written communication skills

  • Excellent interpersonal skills

  • Self-motivated and able to successfully complete projects on time working both independently and within a team

  • High level of organization and attention to detail

  • Experience working with JIRA and/or Nasdaq SMARTS a plus

  • BS degree preferred

  • 0-3 years experience



Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.