Job Description
Position Summary:
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.
Duties and Responsibilities:
Performs a combination of the following duties according to Department and Division guidelines:
- Conduct real-time surveillance and analysis of complex trading activities 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.
- Proactively initiates collaboration with various Cboe teams, particulary the regulatory development and investigation teams, to further enhance the Regulatory Program.
- Conduct peer reviews of various work product on an as-needed basis.
- Actively participate and lead more junior staff members in team projects, discussions and problem solving.
- Actively participate in training/continuing education opportunities and meetings.
- Performs other related duties as required or requested.
- Serve as a mentor to and assist the management team in training junior staff members.
- Attendance at the workplace in a traditional office environment may be required at times.
Work Experience:
Bachelor's degree with 5+ years of experience in the securities and trading industry, derivatives experience (or a Master's degree with 3+ years experience)
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.
- Highly proficient in MS Office and/or other applications that are utilized to analyze data and trends.
- Exceptional written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis
The ideal candidate has:
- 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.
Education:
Bachelor’s degree required; economics, business, accounting or finance (preferred)
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)
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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 otherthird party communication tools for recruiting purposes.
