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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Litigation
Litigation - Whistleblower - CFTC
1-2 yrs required
Investigator, CFE Duties: Will perform examination, surveillance and investigative activities to assist in determinations regarding possible violations of company's Futures Exchange (CFE) rules, federal commodities and securities regulations and other applicable rules and regulations governing CFE Trading Privilege Holder activity (TPH). Conduct examinations and other reviews related to CFE Trading Privilege Holders (TPH) books and record keeping practices and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements. Independently perform regular in-depth and timely review and analysis of market data and trading activity to detect possible violations of rules and regulations, using automated and manual computer resources and software applications. Investigate possible violations of rules governing trading activities, independently manage investigative cases from inception to conclusion, completing investigation steps in a timely manner and meeting expected guidelines. Build and maintain a thorough understanding of CFE's trading and regulatory environment, as well as the broader futures and securities industry, in areas such as markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative techniques. Actively participate in training/continuing education opportunities and meetings. Analyze situations to identify issues involved and types of evidence (data and information) necessary to make a determination regarding whether the activity in question was violative. Perform thorough research, collect evidence and conduct fact-finding interviews of market participants, witnesses or other involved parties. Develop interview questions to thoroughly address all aspects of particular situations and gather appropriate information. 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 case 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. Prevent case information to management and disciplinary committees. Assists company's Legal Division with formal disciplinary proceedings, such as prosecution or settlement. Professionally interact with internal regulatory staff and external contacts (such as Self-Regulatory Organizations, TPHs, and CFTC). Actively participate in team projects, discussions and problem solving. Participate in special projects as assigned.
Qualification and Experience
Qualification Requirements: A Bachelor's degree in Economics, Business or Finance is preferred. A Graduate or Law degree is a plus. 1-2 years of relevant experience in a regulatory, compliance or legal environment. Working knowledge of derivatives markets and relevant rules and regulations. Working familiarity with MS-Office suite, including Excel or similar products. Excellent oral and written communication skills. Excellent interpersonal skills. Should be self-motivated and able to successfully complete projects on time working both independently and within a team. High level of organization and attention to detail. Strong analytical skills and the ability to apply quantitative and qualitative analysis. Excellent PC skills.
Requisition Number 14-0056.
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