The Cboe Regulatory Division (the “Division”) is actively seeking a highly motivated individual to join our Equities Investigations Management team. The Equities Investigations Manager will lead investigators and investigative activities to assist in determinations regarding possible violations of Cboe BZX, Cboe BYX, Cboe EDGX, and Cboe EDGA equities exchanges (collectively, the “Exchanges”) Rules and other applicable rules and regulations governing the Exchanges’ Members.
We strive to create strong teams with strong individuals. You will learn a lot from your peers and will continue to develop your skills and business knowledge.
Oversee investigations of trading activities on the Exchanges to detect possible violations of the Exchanges’ Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities
Contribute in the creation of new investigative processes, operational methodologies and investigative techniques to more effectively complete investigations
Develop, manage, and actively lead a team of investigators to ensure investigations meet the expected guidelines and Division goals
Work with investigators to evaluate and analyze situations, evidence, and case law or precedent necessary to determine whether the activity in question should result in disciplinary action. Review investigative case reports detailing findings in a clear, cohesive manner supported by factual evidence and analysis. Ensure compliance with departmental guidelines for style and form; present work that is complete and requires minimal revisions.
Present case information to management and Enforcement personnel
Lead investigators in taking on-the-record testimonies, as required
Assist Enforcement with formal disciplinary proceedings, as required
Collaborate and communicate with cross-functional teams, particularly the Equities Surveillance and Enforcement teams to enhance or create solutions and make the team more effective and efficient
Bachelor’s degree required; economics, business, accounting or finance preferred. Advanced Degree MBA, Masters, J.D. preferred.
5+ years of work experience. Candidates should have experience in the securities and trading industry, internal audit, compliance or legal roles. Leadership or management experience preferred
Exceptional written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis.
Strong attention to detail, organization, and effective communication skills (verbal and oral)
Ability to lead by example, inspire and motivate assigned staff in the performance of job duties
Candidates should be active problem solvers with the ability to lead a team in a fluid and constantly changing environment
Highly proficient in MS Office suite products
Ability to work effectively and independently with all levels of management and staff
Experience with relational databases a plus (SQL, VBA, Access)