CBRE · 2 months ago
Lead Investigator, Regulation
Chicago, IL
Full-time
Hybrid
Mid, Senior Level
$102K/yr - $126K/yr
5+ years expCboe Global Markets is a leading provider of market infrastructure and tradable products. They are seeking a highly motivated Lead Investigator to manage investigations of trading activities and ensure compliance with Exchange Rules and regulations.
CommercialFinancial ServicesProperty DevelopmentReal Estate
No H1B
U.S. Citizen Only
Responsibilities
Independently manage investigations from inception to conclusion and completing investigation steps in a timely manner that 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 identify potential violations as well as the types of evidence, including data and information, necessary to determine whether 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 determine whether non-disciplinary or disciplinary actions are warranted. Recommend appropriate disposition to 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
Assist in 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 participate in team projects, discussions and problem solving
Coach and mentor junior investigators on the team
Actively participate in training/continuing education opportunities and meetings
Qualification
Required
Bachelor's Degree
Five 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
Preferred
Experience in a regulatory, compliance, and/or legal environment
Benefits
Medical Coverage
Prescription Drug Coverage
Additional Medical Benefit
Dental Coverage
Vision Coverage
401K or Pension Company Match
Spending Accounts
Life and AD&D Insurance
Retirement Savings Plan
Employee Stock Purchase Plan (ESPP)
Voluntary & Additional Benefits
Paid Time Off
Company
CBRE
Operating across every dimension of commercial real estate, CBRE sees more so you can do more.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$3.8BKey Investors
Athene Capital
2025-11-05Post Ipo Debt· $750M
2025-04-29Post Ipo Debt· $1.1B
2024-02-20Post Ipo Debt· $500M
Leadership Team
Adam Gallistel
Co-CEO and CIO
Andrew Glanzman
Chief Executive Officer of CBRE’s Real Estate Investments
Recent News
The Real Deal
2026-01-07
Business Standard India
2025-12-05
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