Surveillance Analyst

About the role

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. The position will be based in Chicago, IL.

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.
• Aid in responding to inquiries from the SEC and other regulatory bodies.
• Aid 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.

Requirements

• 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
• Knowledge of exchange regulatory and rules requirements as well as regulatory nuances; exchange data structures and regulatory design, including some systems elements
• Proficient in Excel and/or other applications that are utilized to analyze data and trends
• Strong analytical and research skills
• Experience with SMARTS Trade System Surveillance Software is a plus

Qualifications

• 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

Skills

• Knowledge of general securities industry, derivatives markets industry, and/or Cboe, C2, BZX, or EDGX rules and regulations
• Experience with SMARTS Trade System Surveillance Software

Benefits and Perks

We value the total wellbeing of our people – including health, financial, personal and social wellness. We believe standard benefits like health insurance and fair pay are a given at any organization. Still, you should know we offer:

• 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

Some of our associates’ favorite benefits and perks include:

• 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

Pay

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.

Schedule

This role follows a four day in office work model.