Investigator

Job Description

Position Summary

One of our clients in the financial exchange industry is actively seeking a motivated professional to join the Equities Investigations team. The Investigator conducts investigations into the trading activity of Exchange Members to assist in determinations regarding possible violations of exchange rules and other applicable regulations. An individual in this role applies developing functional and regulatory knowledge to investigate assigned matters under the guidance of management.

Duties and Responsibilities

• Conduct investigations of trading activities on the exchanges to detect possible violations of exchange rules, bylaws, interpretations, policies, 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, improve team effectiveness and efficiency, and support a cohesive regulatory program.

• Present case information to management and Enforcement teams by clearly articulating investigative findings, evidentiary support, and recommended outcomes.

• 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.

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Skills and Requirements

Education

• Bachelor's degree required; degrees in Finance, Law, Accounting, Economics, Business, or a related field preferred.

Experience

• At least two years of experience in the securities industry, regulatory environment, compliance, or a related legal/investigative field.

Knowledge & Skills

• Working knowledge of, or demonstrated aptitude to quickly learn, U.S. equities markets, market structure, and trading operations, including exchange rules and applicable SEC 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.

• Strong verbal communication skills and the ability to present case findings credibly to management, enforcement teams, the SEC, and other SROs.

• Sound analytical ability and developing judgment in evaluating evidence and understanding regulatory context.

• Strong organizational skills and attention to detail, with the ability to manage multiple assigned investigations simultaneously under defined timelines and supervision.

• Proficiency in Microsoft Office Suite, including Excel. Experience with data analysis tools relevant to trading surveillance is a plus. • Prior experience related to investigations, compliance, or trading surveillance is a plus.

• Experience working with or at a Self-Regulatory Organization (SRO), the SEC, FINRA, or a similar regulatory body is a plus, though not required.