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Investigator - Options
Ref No.: 18-03209
Location: Kansas City, Kansas
Position Type:Full Time
Pay Rate : $ 80,000.00 - 100,000.00 /Year
A financial services firm is looking for an Investigator for their options securities and products. The best candidate will need strong writing and communication abilities. Experience and knowledge of options is preferred, but they would consider candidates without the experience but the acumen to learn quickly. They have a vigorous training program.
The Investigator will:
  • Conduct focused investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities.
  • 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 in the creation of new investigative processes that address potential regulatory concerns.
  • Professionally interact with internal regulatory staff and external contacts (such as Members, other Self-Regulatory Organizations, and the SEC) to further develop and determine the disposition of investigations initiated by the team.
  • Actively participate in team projects, discussions and problem solving.
  • Actively participate in training/continuing education opportunities and meetings.
  • Collaborate with various teams to further enhance the Regulatory Program.
Requirements:
  • Exceptional written, analytical, and research skills.
  • High level of organization and attention to detail.
  • Strong written and verbal communication skills.
  • Equivalent of Bachelor's degree.
  • At least 2 years of experience in the securities and trading industry.
  • Working knowledge of equities and options markets.
  • Experience in a regulatory, compliance, and/or legal environment is a plus.
  • Must be proficient in MS-Office suite, including Excel.
  • Must be able to communicate with all levels of management and staff.
The Investigator will:
  • Conduct focused investigations of trading activities on the Exchanges to detect possible violations of Exchange Rules, By-Laws, and interpretations and policies, and the SEC rules and regulations thereunder, or other improper activities.
  • 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 in the creation of new investigative processes that address potential regulatory concerns.
  • Professionally interact with internal regulatory staff and external contacts (such as Members, other Self-Regulatory Organizations, and the SEC) to further develop and determine the disposition of investigations initiated by the team.
  • Actively participate in team projects, discussions and problem solving.
  • Actively participate in training/continuing education opportunities and meetings.
  • Collaborate with various teams to further enhance the Regulatory Program.
Requirements:
  • Exceptional written, analytical, and research skills.
  • High level of organization and attention to detail.
  • Strong written and verbal communication skills.
  • Equivalent of Bachelor's degree.
  • At least 2 years of experience in the securities and trading industry.
  • Working knowledge of equities and options markets.
  • Experience in a regulatory, compliance, and/or legal environment is a plus.
  • Must be proficient in MS-Office suite, including Excel.
  • Must be able to communicate with all levels of management and staff.