Job Description
In House Counsel Jobs New York | JDHuntr 42566 Regulatory Investigator, Lenexa, KS
To apply go to JDHuntr.com
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
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Employment Type: Full-Time
Job Tags
Full time,
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