Trade Practice Investigator
The Trade Practice Investigator at Confidential Client's Market Regulation Department is responsible for monitoring and investigating potential trade practice violations to ensure market integrity and compliance with exchange rules. This role involves analyzing large datasets, conducting thorough investigations, interviewing subjects and witnesses, and producing detailed reports to support regulatory enforcement. The position offers exposure to a leading regulatory environment and requires strong analytical, communication, and organizational skills.
About Careertakes
👉 Important disclosure: Careertakes is a third-party recruiting platform supporting this hiring process. If selected, you will be employed directly by our client, Accounting & Finance.
Applicants for this role may also receive access to additional matched opportunities through the Careertakes platform.
What You Get
Confidential Client offers a structured entry path into market regulation and trade surveillance with a competitive total rewards package.
- Exposure to a broad product set and a best-in-class regulatory function
- Professional development and clear career progression
- Meaningful, market-impacting work helping keep markets open, fair, and transparent
- Competitive salary: $63,500–$105,800 per year
- Comprehensive benefits including health coverage, retirement (401(k) + pension), education reimbursement, paid time off, and mental health resources
What You Do
As a Trade Practice Investigator on the Market Regulation team you will:
- Monitor and review trading activity using proprietary surveillance and analytical tools to detect abusive or disruptive trading (e.g., spoofing, wash trading, pre-arranged activity)
- Perform programmatic reviews, evaluate participant complaints, and run ad-hoc research for potential rule violations
- Open and manage investigations, produce investigative case files, and coordinate with Enforcement counsel as needed
- Take recorded statements from subjects and witnesses and prepare discovery materials (interrogatories, information requests, etc.)
- Produce concise, well-reasoned investigative reports and recommendations for Investigations management
- Manage multiple assignments simultaneously with strong organization and adherence to deadlines
Qualifications
To be considered, candidates should have:
- Bachelor's degree from an accredited four-year institution (advanced degree a plus)
- 0–3 years of relevant experience; experience at an exchange, regulatory organization, or Futures Commission Merchant preferred — strong recent graduates encouraged to apply
- Experience working with large datasets and analytical tools
- Strong analytical, quantitative, and critical thinking skills
- Clear written and oral communication skills; experience producing formal reports
- Strong organizational, time-management, and problem-solving abilities; ability to work independently in a fast-paced environment
- Intermediate to advanced proficiency in MS Word and MS Excel
- Familiarity with Python, R, and/or data visualization tools is a plus
Why this role matters
This role helps preserve market integrity by identifying, investigating, and preventing abusive trading practices. Investigators at Confidential Client play a direct role in ensuring transparent, reliable markets while building specialized investigative and analytical expertise.
Equal Opportunity & Hiring Transparency
Careertakes and our client are Equal Opportunity Employers committed to building a diverse and inclusive workforce. We prohibit discrimination or harassment of any kind. To support a fair and efficient hiring process, AI tools may be used to assist with application review or resume screening. These tools do not replace human decision-making. Final hiring decisions are made by people.
If you have questions about how your data is used, please contact us directly.
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