Sr Analyst - Surveillance
About The Position
Building trusted markets — powered by our people. 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 meaningful 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 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. Location Overview Cboe HQ is located in the historic Old Post Office district, it’s a landmark that blends classic architecture with modern amenities. The building features expansive spaces with high ceilings and large windows, offering an abundance of natural light and panoramic views of the city skyline and the Chicago River. With its prime location in the heart of downtown, the OPO Building provides easy access to major transportation hubs, including Union Station and multiple CTA lines, making it convenient for commuters. The building is home to a variety of amenities, including restaurants, a fitness center, and collaborative workspaces, creating a vibrant and dynamic work environment in one of Chicago's most iconic areas. OUR TEAM 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”).
Requirements
- 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.
Nice To Haves
- 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.
Responsibilities
- 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.
- 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.
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
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What This Job Offers
Job Type
Full-time
Career Level
Senior
