Senior Equity Surveillance Analyst, Regulatory



IT, Legal
Lenexa, KS, USA
Posted on Wednesday, March 13, 2024

Job Description

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 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. Our Associate Resource Groups champion diversity, equity and inclusion, giving employees a safe space to network, share ideas and create opportunities.

Sound like the place for you? Join us!

Location: Lenexa, KS (Flex Hybrid)

The Cboe Regulatory Division (the “Division”) is actively seeking a highly motivated individual to join our Equity Surveillance Team. This team performs analysis of real-time and pattern-based surveillances to detect possible violations of Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGX Exchange, Inc, and Cboe EDGA Exchange, Inc. (collectively, the “Exchanges”) Rules and other applicable rules and regulations governing Exchange Members.

Your responsibilities will be:

  • 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.
  • Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program.
  • Stay apprised of industry concepts and events to contribute in the creation of new surveillance concepts, operational methodologies, and surveillance techniques that address the Regulatory program’s concerns.
  • Collaborate with various Cboe teams, particularly the regulatory development 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.
  • Actively participate in team projects, discussions and problem solving.
  • Actively participate in training/continuing education opportunities and meetings.
  • Performs other related duties as required or requested.
  • Attendance at the workplace in a traditional office environment may be required at times.

The ideal candidate has:

  • Minimum Years of Work Experience: 2+ years
  • Minimum Education Requirement: Bachelor’s degree required; 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.

You’ll really stand out with:

  • Experience with Trade Surveillance software.
  • Experience with relational databases (SQL, VBA, Access).
  • Experience in the securities and trading industry.
  • Association of Certified Fraud Examiners (ACFE)

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
  • Flexible, hybrid work environment
  • 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 employees’ 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



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.