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
Cboe Global Markets (Cboe) is the leading exchange network for global derivatives, foreign exchange, digital asset and securities trading solutions. It was founded in 1973, and is headquartered in Chicago, Illinois, USA, with a workforce of 1001-5000 employees. Its website is http://www.cboe.com.
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