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 a safe space to network, share ideas and create opportunities. To support strong partnership and team connection, this role follows a four day in office work model. Location Overview Cboe Global Markets operates a key office in the Overland Park Xchange (OPx), located in Overland Park, Kansas, a bustling suburb of Kansas City. The OPx business park is strategically positioned to provide convenient access to the Kansas City metropolitan area, offering modern infrastructure and a collaborative environment ideal for the financial services and technology industries. This location benefits from proximity to major highways, making it easily accessible for employees The OPx site provides a balance of high-quality office space, advanced facilities, and an environment conducive to productivity and growth. Position Summary : The Cboe Regulatory Division (the “Division”) is actively seeking a highly motivated and experienced professional to join the Equities Investigations team. The Sr. Investigator performs independent, specialized investigations into the trading activity of Exchange Members to assist in determinations regarding possible violations of the rules of Cboe BZX, BYX, EDGA, and EDGX Exchanges (collectively, the "Exchanges") and other applicable rules and regulations. An individual in this role applies advanced functional and regulatory knowledge to solve non-routine investigative problems, independently leads specialized workstreams 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 cases and the professional acumen to mentor less experienced colleagues and represent the Division in multi-stakeholder settings. Duties and Responsibilities: Conduct independent, complex investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules and By-Laws—and the interpretations and policies thereunder—and applicable SEC rules and regulations. Analyze evidence, apply regulatory judgment across multiple data sources, and determine appropriate disposition. 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. Manage investigations independently from inception to conclusion, meeting expected guidelines and quality standards throughout all stages, including evidence collection, analysis, and case resolution. 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 the Equities Surveillance, Enforcement, and other relevant teams to enhance investigative processes; create solutions that improve team effectiveness and efficiency; and support a cohesive Regulatory Program. Present case information to management and Enforcement teams, by articulating investigative findings, evidentiary support, and recommended outcomes clearly and persuasively. Assist Enforcement with formal disciplinary proceedings, including preparation of materials and participation in related processes, as required. Actively participate in team projects, discussions, and problem solving, including contributing to the development of new investigative processes and methodologies that address emerging regulatory concerns. Participate in on-the-record testimonies, as required; prepare relevant materials and conduct proceedings with professionalism and regulatory precision. Participate in training and continuing education opportunities, industry developments, and team meetings to maintain a current and comprehensive understanding of the equities regulatory environment. Requirements: Education Bachelor’s degree or equivalent required; degree(s) in Finance, Law, Accounting, Economics, Business, or a related field preferred. Experience Minimum 3-5 years of experience in the securities industry, regulatory environment, compliance, or a related legal/investigative field Demonstrated experience conducting or managing investigations, with the ability to work independently on complex, non-routine matters. Experience working with or at a Self-Regulatory Organization (“SRO”), the SEC, FINRA, or a similar regulatory body is strongly preferred. Knowledge & Skills Strong working knowledge of U.S. equities markets, market structure, and trading operations, including an understanding of the Exchanges’ rules and applicable SEC rules and regulations. Proficiency in analyzing large volumes of trading data to identify patterns, anomalies, and potential violations; experience with data querying tools or trading surveillance platforms is a plus. Exceptional written communication skills, including the ability to draft clear, well-organized investigative rep