Sr Investigator
About the role
Role: Senior Investigator, Regulation The Cboe Regulatory Division (the “Division”) is actively seeking a highly motivated, and experienced professional to join our Futures SEF Regulatory team. The Senior Investigator will conduct both pattern-based surveillance reviews and investigations to assist in determinations of potential rule violations of Cboe Futures Exchange (“CFE”) and Cboe SEF (collectively, the “Exchanges”) Rules, along with other applicable rules and regulations governing Exchange Members and Market Participants. 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 analysis of surveillance alerts and investigations and the professional acumen to mentor less experienced colleagues and represent the Division in multi-stakeholder settings.
Responsibilities
- Conduct surveillance and analysis of order entry and trading activity on the Exchanges to detect potential violations of CFE and SEF rules and policies, utilizing surveillances systems along with SQL or advanced Excel (Power Query, pivot tables, complex formulas).
- Contribute to new surveillance processes and operational methodologies, including data pipelines, query logic, and tuning of alert thresholds to address evolving regulatory concerns.
- Conduct rule‑based investigations and to ensure compliance with Exchanges rules