Regulatory Options Surveillance Analyst
Position Summary: The 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.
Duties and Responsibilities:
Performs a combination of the following duties according to Department and Division guidelines:
- 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.
- Assist in responding to inquiries from the SEC and other regulatory bodies.
- Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program.
- Stay apprised of industry concepts and events while contributing to 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.
Market experience through positions with banks, exchanges, asset managers, broker-dealers, hedge funds, mutual funds, or similar institutions and related experience in a regulatory compliance, surveillance, or investigative role is a plus.
Knowledge, Skills and Abilities:
- Knowledge of general securities industry, derivatives markets industry, and/or Cboe, C2, BZX, or EDGX rules and regulations.
- Knowledge of the following preferred: exchange regulatory and rules requirements as well as regulatory nuances; exchange data structures and regulatory design, including some systems elements.
- Must be proficient in Excel and/or other applications that are utilized to analyze data and trends.
- Must have strong analytical and research skills.
- Experience with SMARTS Trade System Surveillance Software is a plus.
- 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.
Bachelor’s degree in Finance, Business, Computer Science, or related field.
Any communication from Cboe regarding this position will only come from a Cboe recruiter who has a @cboe.com email or via LinkedIn Recruiter. Cboe does not use any other third party communication tools for recruiting purposes.