Surveillance Analyst

Cboe Global Markets is a leading provider of market infrastructure and tradable products, inspiring their people to solve complex challenges. The Surveillance Analyst role involves real-time surveillance and analysis of option securities to detect possible violations of Cboe and SEC rules and policies, while collaborating with various teams to enhance the Regulatory Program.

Responsibilities

• Conduct real-time surveillance and analysis of option securities traded on the Cboe Exchanges to detect possible violations of Cboe and SEC rules and policies
• Conduct real-time monitoring of Cboe trading systems to ensure compliance with Cboe rules
• Collaborate with various Cboe teams to further enhance the Regulatory Program
• Assist in responding to inquiries from the SEC and other regulatory bodies
• Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program
• Stay apprised of industry concepts and events while contributing in the creation of surveillance concepts that address potential regulatory concerns
• Build and maintain an understanding of the Exchanges’ regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, investigative and examination techniques

Skills

• Conduct real-time surveillance and analysis of option securities traded on the Cboe Exchanges to detect possible violations of Cboe and SEC rules and policies
• Conduct real-time monitoring of Cboe trading systems to ensure compliance with Cboe rules
• Collaborate with various Cboe teams to further enhance the Regulatory Program
• Assist in responding to inquiries from the SEC and other regulatory bodies
• Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program
• Stay apprised of industry concepts and events while contributing in the creation of surveillance concepts that address potential regulatory concerns
• Build and maintain an understanding of the Exchanges' regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, investigative and examination techniques
• Knowledge of general securities industry, derivatives markets industry, and/or Cboe, C2, BZX, or EDGX rules and regulations
• Must be proficient in Excel and/or other applications that are utilized to analyze data and trends
• Must have strong analytical and research skills
• Ability to organize and prioritize tasks and work assignments; complete multiple tasks simultaneously with accuracy and quality; adjust to changes in priorities and situations; complete work under pressure; meet deadlines
• Ability to interact in a professional manner with internal and external contacts; communicate clearly with all levels of management and staff; use tact and diplomacy; maintain confidentiality; and appropriately handle and communicate controversial or sensitive information
• Ability to be thorough and precise when accomplishing a task; double-check accuracy to consistently provide high-quality work with minimal errors; compare work to what is expected to find and correct inconsistencies; remain aware and take care of details for all aspects of the job involved, even those easy to overlook
• Ability to learn new information and concepts quickly and independently; take initiative to seek knowledge needed for the job or assignment
• Ability to evaluate, analyze, and summarize data and facts in a manner that clearly documents the review conducted and the decisions made for the particular matter
• Ability to work cooperatively in group situations; balance team and individual responsibilities; and exhibit objectivity and openness to others' views
• Bachelor's degree in Finance, Business, Computer Science, or related field
• Financial markets experience preferred but not required
• Directly related experience in a regulatory, compliance, surveillance, or investigative role is a plus
• Knowledge of the following preferred: exchange regulatory and rules requirements as well as regulatory nuances; exchange data structures and regulatory design, including some systems elements
• Experience with SMARTS Trade System Surveillance Software is a plus

Benefits

• Medical Coverage
• Prescription Drug Coverage
• Additional Medical Benefit
• Dental Coverage
• Vision Coverage
• 401K or Pension Company Match
• Spending Accounts
• Life and AD&D Insurance
• Retirement Savings Plan
• Employee Stock Purchase Plan (ESPP)
• Voluntary & Additional Benefits
• Paid Time Off

Company Overview