Surveillance Analyst

Role Overview

The Surveillance Analyst role will include real-time and pattern-based surveillance of the Cboe option markets to detect possible violations of Cboe and SEC rules and 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.

The ideal candidate has:

• 2+ years of experience in regulatory, compliance, surveillance, or investigative functions within financial markets, gained through roles at banks, exchanges, asset managers, broker-dealers, hedge funds, mutual funds, or similar institutions.
• Knowledge of general securities industry, derivatives markets industry, and/or Cboe, C2, BZX, or EDGX rules and regulations.
• Knowledge of exchange regulatory and rules requirements as well as regulatory nuances; exchange data structures and regulatory design, including some systems elements.
• Proficiency in Excel and other applications utilized to analyze data and trends.
• Strong analytical and research skills.
• Experience with SMARTS Trade System Surveillance Software is a plus.
• 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.

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.

We’re proud to be an equal opportunity employer and do not discriminate against any employee or applicant for employment based on any legally protected characteristic, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or Veteran status. We are committed to fostering a workplace where all individuals are valued and respected.

This position is not eligible for visa sponsorship. Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future.

The anticipated base salary range for this role is $79,475-$102,850, with actual compensation determined by job-related factors such as skills, relevant experience, education, internal alignment, and location. This role may also be eligible for annual incentive compensation and, where applicable, participation in Cboe's long-term equity programs.