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Location : Illinois, Chicago
Refer job # QHVM337940
Job Responsibilities and Requirements: Investigators surveil markets and investigate trade practice violations in both the electronic and open outcry markets by conducting research in particular markets, participating in programmatic reviews of specific trade practice violations, reviewing complaints of market participants, and/or conducting investigative case-work once a potential violation has been identified. Investigators must have or develop a sound understanding of market fundamentals, trading practices, investigative and surveillance techniques, and Exchange trade practice rules. After an initial training period, Investigators are assigned to one of six asset class-based teams. Assignments are based on skills and interests of the Investigator and need of the team. Within the team, the Investigator will be tasked with one or more assignments, including conducting research specific to their asset class, reviewing complaints from market participants, participating in a programmatic review of trade practice violations administered within their team, or investigating cases that have been initiated from research, programs, or complaints. To carry out their investigative responsibilities, Investigators must apply analytical skills to correlate complex financial audit trail data, market data, and often audio, video, and documentary evidence. Investigators must also be facile with the use of technology, including proprietary systems, to aid in the detection and investigation of potential trade practice abuses and violations of Exchange rules. Further, Investigators will regularly seek information from market participants via informal oral communications, formal recorded oral interviews of subjects and witnesses, and detailed written discovery requests. Investigators will also prepare written memoranda and reports detailing their research, program review, complaint review, and/or investigative case-work. Investigators written work-product is often reviewed and relied upon by Market Regulation management and, in situations involving material rule violations, referred to the Enforcement group and used as the bases for disciplinary actions. Investigators must, accordingly, possess strong verbal and written communication skills. Finally, Investigators will simultaneously manage multiple assignments, whether research, program reviews, complaint reviews, and/or investigative case-work. This requires strong organizational and planning skills and a high degree of initiative to ensure timely completion of assignments. Qualifications Writing and analytical experience required Advanced degree (JD or MBA) and experience in financial services preferred Advanced Excel skills preferred; familiarity with Tableau or Python helpful.
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