William Finn
Market Regulation Investigator | CME Group
- Role
- Investigator, Market Regulation at CME Group
- Location
- Chicago, IL, US
- LinkedIn followers
- 500 followers
About William Finn
As an Investigator within Market Regulation, I am responsible for investigating allegations of misconduct and potential trade practice violations across CME product lines for both electronic and open-outcry trading. Responsibilities include conducting thorough research and case work through the examination and analysis of: complex transactional data; audio, video, and documentary evidence; interviews of market participants; and preparation of investigative reports.The Market Regulation Department is charged with ensuring that CME Group\'s global markets are free, fair and transparent without anomalous trading that violates exchange or federal rules and regulations.My previous experience within the compliance and prop trading industries provides me with a broad set of skills applicable across risk, compliance, and operations roles.I graduated from the University of Notre Dame with a BA in Political Science and a minor in Business Economics. There I gained a solid foundation in the principles and practices of political science, economics, and policy. I also honed my communication, writing, and legal document preparation skills through various internships and projects in the legal and consulting sectors. I am passionate about minimizing regulatory and business risks across businesses.
Experience
Investigator, Market Regulation
Jan 2024 — Present · Chicago, IL, US
The Market Regulation Department is charged with ensuring that CME Group\'s global markets are free, fair and transparent without anomalous trading that violates exchange or federal rules and regulations.As an Investigator within Market Regulation, I am responsible for investigating allegations of misconduct and potential trade practice violations across CME product lines for both electronic and open-outcry trading. Responsibilities include conducting thorough research and case work through the examination and analysis of: complex transactional data; audio, video, and documentary evidence; interviews of market participants; and preparation of investigative reports.
Education
University of Notre Dame
Bachelor of Arts - BA
2017 — 2020
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