Trade Practice Investigator
CME Group is the world’s leading derivatives marketplace, and they are seeking a Trade Practice Investigator to ensure compliance with exchange rules and regulations. The role involves monitoring markets for abusive activities, conducting investigations, and producing reports to support regulatory compliance.
Responsibilities
- Perform timely program reviews to detect potential trade practice rule violations, such as spoofing and other types of disruptive trading activity, washing and other types of prohibited prearranged trading activity, acting on non-public order information and/or violating the priority of customer orders, and failing to comply with reporting and/or recordkeeping requirements
- Evaluate complaints from market participants and conduct independent research, both ad hoc and structured, for evidence of potential rule violations
- Conduct comprehensive investigations (i.e., cases) into the potential trade practice rule violations identified through program, complaint, and research reviews
- Take recorded statements from the subjects of and witnesses for the investigations
- Communicate the results of analyses and recommend the appropriate disposition to Investigations management
- Produce concise, but thoroughly grounded, argumentative reports for a select audience, including Investigations management and Enforcement counsel as appropriate
Skills
- A bachelor's degree from a four-year, accredited institution; advanced or professional degrees a plus
- One - three years direct work experience at an exchange, regulatory organization, or Futures Commission Merchant preferred
- Open to recent, high-performing college graduates with relevant or transferrable skills and experiences
- Experience working with large data sets
- Strong to exceptional analytical, quantitative, and critical thinking skills
- Strong oral and written communication skills
- Strong organizational, time management, and problem-solving skills
- Ability to work independently in a fast-paced work environment
- Intermediate to Advanced MS Word and MS Excel; Python, R, Data Visualization a plus
Benefits
- Annual target bonus opportunity
- Ability to become an owner in the company through our broad-based equity program
- Comprehensive health coverage
- Retirement package that includes both a 401(k) and an active pension plan
- Highly competitive education reimbursement provisions
- Paid time off
- Mental health benefit
Company Overview
Company H1B Sponsorship