Cboe Global Markets is a leading provider of market infrastructure and tradable products, focused on empowering their workforce to tackle complex challenges. The Surveillance Analyst role involves real-time and pattern-based surveillance of Cboe option markets to ensure compliance with regulations and internal policies.
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 Finance, Business, Computer Science, or related field
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
Preferred
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
Cboe Global Markets (Cboe) is the leading exchange network for global derivatives, foreign exchange, digital asset and securities trading solutions.
