Find A Job › Compliance


Investigator - Equities

  • Location: Lenexa, KS
  • Job Type: Direct Placement
  • Ref No: 20-04752
  • Date: November 19, 2020
  • Job title:

Job Description - Investigator - Equities

 The Regulations team of a market exchange is actively seeking a highly motivated individual to join the equities investigations team and perform investigative activities to assist in determinations regarding possible violations

Duties and Responsibilities:

  • 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.  
  • Analyze situations to identify issues involved and types of evidence (data and information) necessary to decide regarding whether the activity in question was violative or otherwise improper. Perform thorough research, collection of evidence and fact-finding.
  • Evaluate and analyze evidence to conclude sufficiency with respect to suspected violations. Evaluate case law and/or precedent to determine whether non-disciplinary or disciplinary actions are warranted, depending upon the nature and severity of the incident. Recommend appropriate disposition to management for review.
  • Prepare investigative reports detailing findings in a clear, cohesive manner supported by factual evidence and analysis. Utilize Division guidelines for style and form; present work that is complete and requires minimal revisions.
  • Assist in taking on-the-record testimonies, as required.
  • Assist Enforcement with formal disciplinary proceedings, as required.
  • 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.
  • Present case information to management and Enforcement committees.
  • Actively participate in team projects, discussions and problem solving.  
  • Actively participate in training/continuing education opportunities and meetings.
  • Collaborate and communicate with cross-functional teams, particularly the Equities Surveillance and Enforcement team to enhance or create solutions and make the team more effective and efficient.   


  • 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.
  • Must be a strong team player and self-motivated.


Related Job Listings

No related jobs at this time.