Senior Investigator

Job Description:

Building trusted markets - powered by our people

At CboeGlobal Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financialinfrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboedelivers cutting-edgetrading, clearing and investment solutions to market participants around the world.

We’rebuilding meaningful ways to support professional and personal development while strengthening the trust we’veearned as a global market leader. Our teams are empowered to share ideas, actively pursue themand 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 employeesa safe space to network, share ideasand create opportunities.

Location Overview

CboeHQ is located inthe historic Old Post Office district,it’s a landmark that blends classic architecture with modern amenities. The building features expansive spaces with high ceilingsand large windows, offering an abundance of natural light and panoramic views of the cityskyline and the Chicago River.

With its prime location in the heart of downtown, the OPO Building provides easy access to major transportation hubs, including Union Station and multiple CTA lines, making it convenient for commuters. The building is home to a variety of amenities, including restaurants, a fitness center, and collaborative workspaces, creating a vibrant and dynamic work environment in one of Chicago's most iconic areas.

PLEASE NOTE: To support strong partnership and team connection, this role follows a four day in office work model.

Our Team:

The CboeRegulatory Division is responsible forthe oversight of the markets for which it has regulatory responsibility and market participants. The Division endeavors to achieve this goal through effective and efficient surveillance, examination, and investigative programs aimed at detecting and disciplining or preventing violative or otherwise inappropriate behavior.

The Division is actively seeking a highly motivated individual to join our options investigations team and perform investigative activities to assist in determinations regarding possible violations of Cboe, CboeC2, CboeBZX, and CboeEDGX Options Exchange (collectively, the “Exchanges”) Rules and other applicable rules and regulations governing Exchange Members and Trading Permit Holders (“TPH”).

Options Investigators in the Division are responsible forconducting focused investigations of trading activities on the Exchanges to detect possible violationsof Exchange Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities.

Your responsibilities will be

• Independently manage investigations from inceptionto conclusion and completinginvestigation steps in a timely mannerthat 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 to the creation of new investigative processes that address potential regulatory concerns

• Evaluate and analyze matters to identifypotential violations as well as the types of evidence, including data and information, necessary to determinewhether the activity in question was violative or otherwise improper via thorough research, collection of evidence and fact-finding

• Evaluate and analyze evidence to conclude sufficiency with respect to suspected violations through case law and/or precedent to determinewhether non-disciplinary or disciplinary actions are warranted. Recommend appropriate dispositionto 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.

• Assistin taking on-the-record testimonies, as required

• Present case information to management and Enforcement committees, including formal disciplinary proceedings

• Professionally interact with internal regulatory staff and external contacts, such as Members, other Self-Regulatory Organizations, and the SEC

• Collaborate and communicate with cross-functional teams, particularly the Options Surveillance and Enforcement team to enhance or create solutions

• Actively participatein team projects, discussions and problem solving

• Actively participatein training/continuing education opportunities and meetings

The ideal candidate has

• Bachelor's degree required, Economics, Business, Accounting, Finance, or related field preferred.

• 5 years of Industry experience is required

• Strong affinity with financial markets

• Highly self-motivated and driven

• Excellent communication and teamwork skills

• Exceptional written, analytical, and research skills

• Strong organizational and planning skills

• Must be proficient in MS-Office suite, including Excel

• Experience in a regulatory, compliance, and/or legal environment is preferred

Benefits and Perks of working for Cboe Global Markets

We 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 overachievement

• Generous paid time off, including vacation, personal days, sick days and annual community service days

• Health, dental and vision benefits, including access to telemedicine and mental health services

• 2:1 401(k) match, up to 8% match immediately upon hire

• Discounted Employee Stock Purchase Plan

• Tax Savings Accounts for health, dependent and transportation

• Employee referral bonus program

• Volunteer opportunities to help you give back to your communities

Some of our associates’ favorite benefits and perks include:

• Complimentary lunch, snacks and coffee in any Cboe office

• Paid Tuition assistance and education opportunities

• Generous charitable giving company match

• Paid parental leave and fertility benefits

• On-site gyms and discounts to other fitness centers

• Paid Time Off

More About Cboe Global Markets

We’re reimagining the future of the workplace by focusing on what matters most, our people. Our journey is an inclusive one. We’re investing deeply in leadership programs and career development initiatives that ensure everyone has an equal chance to succeed.

We work with purpose, solving problems with ingenuity, collaboration, and a lot of passion. We’re an engaged and excited team connecting markets across borders and embracing growth in all its forms to achieve incredible outcomes.

Learn more about life at Cboe on our website and LinkedIn.

Equal Employment Opportunity

We're proud to be an equal opportunity employer do not discriminate against any employee or applicant for employment based on any legally protected characteristic, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or veteran status. We are committed to fostering a workplace where all individuals are valued and respected.

This position is not eligible for visa sponsorship. Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future.

Salary Ranges (applicable for US locations only)

This role may also be eligible for annual incentive compensation and, where applicable, participation in Cboe's long-term equity programs.

Additional information about Cboe's total rewards program, including benefits and other compensation components, can be found here: Total Rewards at CBOE.

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.