Job DescriptionThe Cboe Regulatory Division (the "Division") is actively seeking a highly motivated individual to join our Equities Investigations Management team. The Manager, Equities Investigations will lead a team of investigators and their investigative activities. The team supports determinations regarding possible violations of Cboe BZX, Cboe BYX, Cboe EDGX, and Cboe EDGA equities exchanges (collectively, the "Exchanges") Rules and other applicable rules and regulations governing the Exchanges' Members.
We strive to create strong teams with strong individuals. You will learn a lot from your peers and will continue to develop your skills and business knowledge.
Duties and Responsibilities:- Lead a team of investigators and be accountable for team performance. This includes setting priorities, allocating work, monitoring results, and making sure investigations meet expected guidelines and Division goals.
- Manage performance and develop team members through regular feedback, coaching, and performance reviews.
- Oversee investigations of trading activities on the Exchanges to detect possible violations of the Exchanges' Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities, including manipulative trading such as spoofing and prearranged trading.
- Work with investigators to evaluate and analyze situations, evidence, and case law or precedent necessary to determine whether the activity in question should result in regulatory action.
- Review investigative case reports detailing findings in a clear, cohesive manner supported by factual evidence and analysis. Ensure compliance with departmental guidelines for style and form, and that work is complete and requires minimal revisions.
- Present case information to management and Enforcement personnel, and report on case inventory, aging, and outcomes.
- Lead investigators in taking on-the-record testimonies, as required.
- Assist Enforcement with formal disciplinary proceedings, as required.
- Contribute to the creation of new investigative processes, operational methodologies, and investigative techniques to more effectively complete investigations.
- Identify and help implement opportunities to use AI and automation tools in the investigative process, such as data analysis, case documentation, and research. Make sure their use follows Cboe policy and that investigators validate AI-assisted work for accuracy before relying on it.
- Collaborate and communicate with adjacent teams, particularly the Equities Surveillance and Enforcement teams, to enhance or create solutions and make the team more effective and efficient. Support coordination with FINRA, the SEC, and other regulators on referrals and information sharing, as directed.
Skills and Experience:- 5+ years of work experience, including experience in managerial/leadership roles. Candidates should have experience in the securities and trading industry, internal audit, compliance, or legal roles.
- Working knowledge of U.S. equities market structure, the Securities Exchange Act of 1934, and SRO rules.
- Exceptional written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis.
- Strong attention to detail, organization, and effective communication skills (verbal and written).
- Ability to lead by example, and to inspire and motivate assigned staff in the performance of job duties.
- Active problem solver with the ability to lead a team in a fluid and constantly changing environment.
- Sound judgment and the ability to handle confidential and sensitive information.
- Highly proficient in MS Office suite products.
- Ability to work effectively and independently with all levels of management and staff.
- Experience with relational databases a plus (SQL, VBA, Access).
- Interest in or experience applying AI and analytics tools to investigative or regulatory work.
Education:- Bachelor's degree required; economics, business, accounting, or finance preferred.
- Advanced degree (MBA, Master's, J.D.) preferred.
Benefits and Perks of working for Cboe Global MarketsWe 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 Flexible, hybrid work environment 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
Salary Ranges (applicable for US locations only)At Cboe, we are committed to providing a competitive, transparent, and market-informed total rewards program. The anticipated base salary range for this role is $110,500-$143,000, with actual compensation determined by job-related factors such as skills, relevant experience, education, internal alignment, and location.
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 [redacted].com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.
