Sr. Surveillance Analyst

Job Description

The Cboe Regulatory Division (the “Division”) is responsible for the oversight of the markets for which it has regulatory responsibility and market participants. The Division endeavors to achieve this goal through effective and efficient surveillance, examination, and investigative programs aimed at detecting and disciplining or preventing violative or otherwise inappropriate behavior. The Division is actively seeking a highly motivated individual to join our surveillance team and perform analysis to assist in determinations regarding possible violations of Cboe Rules and other applicable rules and regulations governing Exchange Members and Trading Permit Holders (“TPHs”).

THE ROLE

The Senior Surveillance Analyst performs analysis of daily and pattern-based surveillances of trading activity on the Cboe Exchanges to detect possible violations of Cboe and SEC rules and policies. In this role, the analyst will:

•Review daily and pattern-based surveillance alerts in an accurate and timely manner.

•Build and maintain an understanding of the Cboe Exchanges’ regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, and investigative and examination techniques.

•Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program.

•Stay apprised of industry concepts and events to contribute to the creation of new surveillance concepts, operational methodologies, and surveillance techniques that address the Regulatory program’s concerns.

•Proactively initiate collaboration with various Cboe teams, particularly the Regulatory Technology and Investigations teams, to further enhance the Regulatory Program.

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

•Conduct end-user validation of various work products on an as-needed basis.

•Serve as a mentor to junior staff members, and actively participate in and lead team projects, discussions, and problem solving.

•Actively participate in training/continuing education opportunities and meetings.

•Perform other related duties as required or requested.

This role requires in-office attendance four days per week (Monday - Thursday) at Cboe’s Chicago Office located at 433 W Van Buren St. Chicago, IL 60607.

Skills and Requirements

Required Skills:

•Bachelor’s degree required; finance, economics, business, or computer science.

•3+ years of experience in the securities and trading industry, derivatives experience preferred.

•Ability to work effectively and independently with all levels of management and staff.

•Exceptional written, verbal, analytical, and research skills and the ability to apply both quantitative and qualitative analysis with strong attention to detail.

•Highly proficient in MS Office suite products, namely Excel. Desired Skills:

•MBA or Masters degree preferred.

•Previous experience with Trade Surveillance software preferred.

•Demonstratable experience using AI tools to streamline workflow.

•Experience with relational databases (SQL, VBA, Access) highly preferred.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to [email protected].