Investigator, Finance & Banking, Financial Consultant

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.

Cboe HQ is located in the historic Old Post Office district, it’s a landmark that blends classic architecture with modern amenities. The building features expansive spaces with high ceilings and large windows, offering an abundance of natural light and panoramic views of the city skyline 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 work spaces, creating a vibrant and dynamic work environment in one of Chicago's most iconic areas.

The Investigator will perform examinations, operate surveillances, and conduct investigations into possible violations of Cboe Futures Exchange (CFE) and Commodity Futures Trading Commission (CFTC) rules and regulations governing Exchange activity.

• Perform regular in-depth and timely surveillance of TPH organizations, understand the business model and risks presented by the TPH and identify potential financial and operational difficulties. Review and analyze regulatory filings and other data obtained from TPH organizations. Use in-house systems to conduct intra‑day and monthly review of financial data submitted. Record results of reviews and determine what issues noted during daily and monthly surveillance need to be escalated and further investigated.
• Act as a Subject Matter Expert for various financial areas.
• Act as a liaison and communicate continuously with assigned TPH firms. Address questions, handle requests and provide interpretations of CFE and CFTC rules in accordance with Regulatory Division policy.
• Act as a liaison and communicate with the Options Clearing Corporation (OCC) the cleaning house for CFE to assess and monitor the financial condition of clearing members and the protection of customer funds.
• Produce summary reports related to a TPH’s financial stability and performance.
• Perform detailed analysis of trade data, upon request, in order to isolate areas of regulatory concern.
• Build and maintain a thorough understanding of CFE and Cboe’s trading and regulatory environment, as well as the broader futures and securities industry.(markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative techniques). Actively participate in training/continuing education opportunities and meetings, including annual ethics training.
• May conduct investigations, pre‑membership reviews, and assist in Cboe oversight of regulatory program.
• Conduct examinations of CFE Trading Privilege Holders’ (TPH’s) books and records, supervisory procedures, compliance, order messaging and Internal Controls to determine adherence with Exchange Rules.
• Design and operate Exchange surveillances to detect violations of CFE rules.
• Independently perform analysis of market data and trading activity to detect possible violations of Exchange rules and regulations.
• Investigate possible violations of rules governing trading activities. Independently manage investigative cases from…