Cboe Global Markets is a leading provider of market infrastructure and tradable products, dedicated to solving complex challenges in the financial sector. The Surveillance Analyst role focuses on real-time and pattern-based surveillance of option markets to detect possible violations of rules and policies, collaborating with various teams to enhance the regulatory program.
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
Qualification
Required
Bachelor's Degree in Economics, Business, Finance or related field
2+ years of financial markets experience in a professional analyst role. Market experience may be gained through positions with banks, exchanges, asset managers, broker-dealers, hedge funds, mutual funds, or similar institutions. Directly related experience in a regulatory, compliance, surveillance, or investigative role is a plus
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
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
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
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
Learn new information and concepts quickly and independently; take initiative to seek knowledge needed for the job or assignment
Evaluate, analyze, and summarize data and facts in a manner that clearly documents the review conducted and the decisions made for the particular matter
Work cooperatively in group situations; balance team and individual responsibilities; and exhibit objectivity and openness to others' views
Preferred
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
Fair and competitive salary and incentive compensation packages with an upside for overachievement
Generous paid time off, including vacation, personal days, sick days and annual community service days
Health, dental and vision benefits, including access to telemedicine and mental health services
2:1 401(k) match, up to 8% match immediately upon hire
Discounted Employee Stock Purchase Plan
Tax Savings Accounts for health, dependent and transportation
Employee referral bonus program
Volunteer opportunities to help you give back to your communities
Complimentary lunch, snacks and coffee in any Cboe office
Paid Tuition assistance and education opportunities
Generous charitable giving company match
Paid parental leave and fertility benefits
On-site gyms and discounts to other fitness centers
Paid Time Off
Cboe Global Markets (Cboe) is the leading exchange network for global derivatives, foreign exchange, digital asset and securities trading solutions.
