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Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileSenior Attorney, Market Regulation Enforcement - CBOE Duties: Plan for an participate in various tasks related to investigations pertaining to trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof. Researches and interprets rules, regulations, statutes, and decisions of regulatory and quasi-Judicial bodies. Advises Enforcement Director regarding laws, rules and regulations. Examines and analyzes data to recommend advisability of pursuing disciplinary action. Gathers and analyzes evidence to formulate cases or to initiate disciplinary action. Drafts memoranda summarizing investigative results and recommending whether to take further action. Under the direction of the Enforcement Director, prepares Letters of Caution and closing memoranda where formal disciplinary action is not recommend. Participates in interviewing witness and respondents, and dandling other details in preparation for disciplinary actions under the direction of the Enforcement Director. Works closely with Enforcement Director in preparing drafts of motions, responses, exhibits, briefs strategy, arguments, testimony, and settlement documents for corrective, remedial, or legal proceedings. Assists with disciplinary proceedings. Participates in negotiations and settlements. Drafts a variety of legal documents.
Qualification and Experience
Qualifications: Law degree and admission to the bar. 2-6 years relevant legal experience in a regulatory or legal environment. Advanced oral and written communication and litigation skills. Excellent interpersonal skills.
Job Number: 006565. Send cover letter and resume with writing sample,
10 S La Salle Street
Chicago, IL 60603-1000