Equities Investigator, Regulation - Lenexa, United States - Cedar Cares Inc

Description

Equities Investigator, Regulation page is loaded Equities Investigator, Regulation Apply remote type Flex/Hybrid locations Lenexa, KS time type Full time posted on Posted 4 Days Ago job requisition id R-3251

Job Description Summary:

The Cboe Regulatory Division (the Division) is actively seeking a highly motivated individual to join our investigations team and perform investigative activities to assist in determinations regarding possible violations of Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGX Exchange, Inc, and Cboe EDGA Exchange, Inc.

(collectively, the Exchanges) Rules and other applicable rules and regulations governing Exchange Members.


Location :
Lenexa, KS office (flex hybrid model)

Duties and Responsibilities:

Conduct focused investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities.

Independently manage investigations from inception to conclusion and completing investigation steps in a timely manner that meet expected guidelines.

Build and maintain a thorough understanding of the Exchanges trading and regulatory environments, as well as the broader securities industry, in areas such as markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative techniques, while contributing in the creation of new investigative processes that address potential regulatory concerns.

Analyze situations to identify issues involved and types of evidence (data and information) necessary to make a determination regarding whether the activity in question was violative or otherwise improper.

Perform thorough research, collection of evidence and fact-finding.
Evaluate and analyze evidence to conclude sufficiency with respect to suspected violations.

Evaluate case law and/or precedent to determine whether non-disciplinary or disciplinary actions are warranted, depending upon the nature and severity of the incident.

Recommend appropriate disposition to management for review.
Prepare investigative reports detailing findings in a clear, cohesive manner supported by factual evidence and analysis. Utilize Division guidelines for style and form; present work that is complete and requires minimal revisions.

Professionally interact with internal regulatory staff and external contacts (such as Members, other Self-Regulatory Organizations, and the SEC) in order to further develop and determine the disposition of investigations initiated by the team.

Actively participate in team projects, discussions and problem solving.
Actively participate in training/continuing education opportunities and meetings.
Collaborate with various Cboe teams to further enhance the Regulatory Program.


Requirements:
Exceptional written, analytical, and research skills.
High level of organization and attention to detail.
Strong written and verbal communication skills.
Equivalent of Bachelors degree.
At least 2 years of experience preferred in the securities and trading industry.
Working knowledge of equities and options markets.
Experience in a regulatory, compliance, and/or legal environment is a plus.
Must be proficient in MS-Office suite, including Excel.
Must be able to communicate with all levels of management and staff.
Must be a strong team player and self-motivated.
Benefits and PerksWe value the total wellbeing of our people including health, financial, personal and social wellness. We believe standard benefits like health insurance and fair pay are a given at any organization.

Still, you should know we offer:

Fair and competitive salary and incentive compensation packages with an upside for overachievementGenerous paid time off, including vacation, personal days, sick days and annual community service daysFlexible, hybrid work environmentHealth, dental and vision benefits, including access to telemedicine and mental health services2:1 401(k) match, up to 8% match immediately upon hireDiscounted Employee Stock Purchase PlanTax Savings Accounts for health, dependent and transportationEmployee referral bonus programVolunteer opportunities to help you give back to your communitiesSome of our employees favorite benefits and perks include:Complimentary lunch, snacks and coffee in any Cboe officePaid Tuition assistance and education opportunitiesGenerous charitable giving company matchPaid parental leave and fertility benefitsOn-site gyms and discounts to other fitness centers#LI-HYBRID#LI-JS1Any 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.
About Us Cboe is always looking for intelligent, innovative and hard-working individuals.

Our success is based on our talented team of industry and technology professionals, which we believe is the strongest in the industry, and we pride ourselves on hiring the best and brightest.

Cboe Global Markets is an Equal Opportunity Employer.

For more information, please click the following links:

If you have been contacted about a job opening at Cboe by someone that does not have a email, this is NOT a trusted source.

Cboe only utilizes emails from or Linkedin messaging for recruitment purposes. Cboe does not use any other third-party messaging applications.

We recommend that you refrain from responding to Cboe recruitment emails that are not from a email address and to file a complaint with the Internet Crime Complaint Center IC3 at .

If you have further questions, please reach out to the Cboe HR team at