Equities Surveillance Analyst, Regulatory

Cboe Global Markets•Lenexa, KS

3d•Hybrid

About The Position

At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting-edge trading, clearing and investment solutions to market participants around the world. We’re building inclusive ways to support professional and personal development while strengthening the trust we’ve earned as a global market leader. Our teams are empowered to share ideas, actively pursue them, and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. We strive to provide employees with a safe space to network, share ideas, and create opportunities. To support strong partnership and team connection, this role follows a four day in office work model. Position Summary The Cboe Regulatory Division (the “Division”) is actively seeking a highly motivated individual to join our Equity Surveillance Team. The Surveillance Analyst performs analysis of real-time and pattern-based surveillances to detect possible violations of Cboe BZX, BYX, EDGX, and EDGA (collectively, the “Exchanges”) Rules and other applicable rules and regulations governing Exchange Members . This role offers direct exposure to the intersection of market structure, data analytics, and emerging technology, working alongside regulatory technology and investigations teams that shape how the Exchanges detect and respond to activity inconsistent with Exchange rules and regulatory requirements .

Requirements

Minimum 2+ years of work experience.
Bachelor’s degree in economics, business, accounting, computer science, or finance (preferred).
Ability to work effectively and independently with all levels of management and staff.
Must have written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis.
Strong attention to detail, organization, and effective communication skills, verbal and written.
Highly proficient in MS Office suite products.

Nice To Haves

Exposure to Trade Surveillance software.
Experience with relational databases (SQL, VBA, Access).
Knowledge of the securities markets and trading industry.
Certified Fraud Examiner (CFE) credential from the Association of Certified Fraud Examiners (ACFE).
Experience using AI and other emerging technologies (e.g., generative AI, machine learning, or AI-assisted analytics tools).

Responsibilities

Conduct surveillance by analyzing and compiling data of securities traded on the Cboe Exchanges to detect possible violations of Cboe and SEC rules and policies.
Document surveillance findings and refer potential rule violations to the Investigations team, including clear analysis and supporting evidence.
Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program.
Stay apprised of industry trends, regulatory enforcement actions, and market events to help inform Regulatory Program priorities and identify emerging areas of surveillance risk .
Leverage AI and other emerging technologies to enhance the effectiveness and efficiency of existing surveillances, and assist in designing, testing, and implementing new AI-driven surveillance concepts and techniques.
Test and calibrate surveillance parameters and alert thresholds to improve detection accuracy and improve alert yield .
Collaborate with various Cboe teams, particularly the regulatory technology and investigation teams, to further enhance the Regulatory Program.
Build and maintain an understanding of the Cboe Exchanges’ regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, investigative and examination techniques.
Contribute to team projects, discussions, and problem solving.
Actively participate in training/continuing education opportunities and meetings.
Perform other related duties as or requested.

Benefits

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
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