Investigator - Regulation
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 @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.