About This Role
Investigating trading activity on the company's exchanges is the core of this role, assisting with determinations of possible rule violations. This position suits a motivated professional who can apply developing functional and regulatory knowledge to assigned matters under guidance.
Responsibilities
- Conduct investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules and By-Laws, and applicable SEC rules and regulations
- Analyze evidence, apply regulatory judgment across multiple data sources, and determine appropriate disposition
- Gather, organize, and analyze evidence across multiple data sources to support investigative conclusions and disposition recommendations
- Prepare investigative reports detailing findings in a clear, cohesive, and well-supported manner, utilizing Division guidelines for style and form
- Manage assigned investigations from inception to conclusion, meeting expected guidelines and quality standards throughout all stages, including evidence collection, analysis, and case resolution
- Collaborate cross-functionally with Equities Surveillance, Enforcement, and other relevant teams to enhance investigative processes; create solutions that improve team effectiveness and efficiency; and support a cohesive Regulatory Program
- Present case information to management and Enforcement teams, by articulating investigative findings, evidentiary support, and recommended outcomes clearly and persuasively
- Assist Enforcement with formal disciplinary proceedings, including preparation of supporting materials, as required
- Actively participate in team projects, discussions, and problem solving, including contributing to the development of new investigative processes and methodologies that address emerging regulatory concerns
- Participate in on-the-record testimonies as required, assisting with preparation of relevant materials
- Participate in training and continuing education opportunities, industry developments, and team meetings to build and maintain a working understanding of the equities regulatory environment
Requirements
- Bachelor's degree required
- At least two years of experience in the securities industry, regulatory environment, compliance, or a related legal/investigative field
- Working knowledge of, or demonstrated aptitude to quickly learn, U.S. equities markets, market structure, and trading operations, including the Exchanges' rules and applicable SEC rules and regulations
- Ability to analyze trading data to identify patterns, anomalies, and potential violations, with growing proficiency in data querying tools or trading surveillance platforms
- Strong written communication skills, including the ability to draft organized investigative reports
