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Analyst, Trading Floor Surveillance
Job in
Chicago, Cook County, Illinois, 60290, USA
Listed on 2026-09-01
Listing for:
Cboe Global Markets
Full Time
position Listed on 2026-09-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Advisor / Consultant, Financial Analyst, Financial Services
Job Description & How to Apply Below
- Job Description Summary Perform trading floor surveillance activities to assist in determining possible violations of Cboe rules, federal securities regulations, and other applicable rules and regulations governing trading activity. In addition to performing floor surveillance, the use of various programs and ability to identify complex issues in a fast paced environment.
- Job Description
Duties and Responsibilities: - Maintains a presence in the SPX/VIX trading crowd monitoring/documenting possible violations of Exchange Rules including rules governing the trading floor and of the Securities Exchange Act of 1934 Researches issues, evaluates and analyzes evidence and recommends appropriate disposition to management for review.
- Builds and maintains a thorough understanding of CBOE's trading and regulatory environment, as well as the broader securities industry, in areas such as markets, products, relevant rules and regulations. Actively participates in departmental training/continuing education opportunities and meetings.
- Professionally interacts with internal regulatory staff and external contacts (such as Self-Regulatory Organizations, trading permit holders, SEC). Actively participates in team projects, discussions and problem solving.
- 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.
- Job Description Summary Perform trading floor surveillance activities to assist in determining possible violations of Cboe rules, federal securities regulations, and other applicable rules and regulations governing trading activity. In addition to performing floor surveillance, the use of various programs and ability to identify complex issues in a fast paced environment.
- Job Description
Duties and Responsibilities: - Maintains a presence in the SPX/VIX trading crowd monitoring/documenting possible violations of Exchange Rules including rules governing the trading floor and of the Securities Exchange Act of 1934 Researches issues, evaluates and analyzes evidence and recommends appropriate disposition to management for review.
- Builds and maintains a thorough understanding of CBOE's trading and regulatory environment, as well as the broader securities industry, in areas such as markets, products, relevant rules and regulations. Actively participates in departmental training/continuing education opportunities and meetings.
- Professionally interacts with internal regulatory staff and external contacts (such as Self-Regulatory Organizations, trading permit holders, SEC). Actively participates in team projects, discussions and problem solving.
- 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.
- Working knowledge of derivatives markets, especially option pricing methodologies, CBOE rules, policies and trading floor procedures.
- Working knowledge in one or more of the following areas preferred: securities or commodities futures regulation, securities or commodities futures trading with experience in options, analytical research, varied trading floor operations, back office, or retail securities
- Basic level skills in MS Office (Word, Excel and Outlook) and other business related software
- Ability to evaluate, analyze, and summarize data and facts; establishes logical connections; forms sound decisions based on analysis.
- Organizes and prioritizes tasks and work assignments; completes multiple tasks simultaneously with accuracy and quality; adjust to changes in priorities and situations; completes work under pressure; and meets deadlines
- Completes work without the need for prompting from supervisor or others; successfully completes most tasks independently, asking for additional support when appropriate
- Creates clearly-written, organized documents and correspondence with correct grammar, spelling and punctuation; prepares detailed written reports including logical,…
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