Senior Investigator

3 to 5 years of experience in the derivatives industry, regulatory environment, compliance, or a related legal or investigative field Experience conducting surveillance analysis or managing investigations independently, including complex and non-routine matters Strong working knowledge of U.S. derivatives markets, market structure, trading operations, Exchange rules, and applicable CFTC regulations Ability to analyze large volumes of trading data and identify patterns, anomalies, and potential rule violations Strong investigative writing skills, including drafting clear, organized, and well-supported reports with minimal supervision Strong verbal communication skills and the ability to present investigative findings credibly to management, Enforcement teams, regulators, and other external parties High analytical ability and sound judgment when evaluating evidence, applying regulatory precedent, and recommending case dispositions Strong organization and attention to detail, with the ability to manage multiple surveillance reviews and investigations simultaneously Proficiency with Microsoft Office, particularly Excel Ability to work independently and manage investigations from inception through final resolution Nice to Have Skills: Degree in Finance, Law, Accounting, Economics, Business, or a related field Experience working with or for an SRO, CFTC, NFA, SEC, FINRA, or similar regulatory body Experience with trading-surveillance platforms or data-querying tools Advanced Excel skills, including Power Query, pivot tables, and complex formulas Exposure to SIGMA, Snowflake, or Big Data SQL environments Experience with relational databases, SQL, Python, VBA, or Access for workflow automation Experience with SMARTS Trade System Surveillance software Previous mentoring, training, or work-product review experience Day to day: The Senior Investigator will review trading and order-entry surveillance alerts across our client's Futures Exchange and SEF, looking for patterns or activity that may violate Exchange rules or applicable regulations. The investigator will triage alerts, enrich them with contextual data, reconstruct trading timelines, analyze large datasets, and manage complex investigations from initial review through resolution. They will document evidence and conclusions in structured investigative reports, present findings and recommendations to management and Enforcement teams, improve surveillance methodologies and alert logic, collaborate across the Regulatory Division, and serve as a mentor and subject-matter resource for more junior investigators. #J-18808-Ljbffr Insight Global