Posted on: March 18, 2023
Job DescriptionPosition Summary: The Surveillance Analyst 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. The position can be based in either Chicago, IL or
Lenexa, KS.Duties and Responsibilities: Performs a combination of
the following duties according to Department and Division
- Conduct real-time surveillance and analysis of option
securities traded on theCboe 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
- Assist in responding to inquiries from the SEC and other
- Assist in the maintenance of internal policies and procedures
related to the Cboe Surveillance Program.
- Stay apprised of industry concepts and events while
contributing in 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. Work Experience:2 or more years of
financial markets experience in a professional analyst role. Market
experience may be gained through positions with banks, exchanges,
asset managers, broker-dealers, hedge funds, mutual funds, or
similar institutions. Directly 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
- 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
- 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;
- 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
- 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
- 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 in Finance, Business,
Computer Science, or related field preferred.#LI-JS1#LI-HYBRID 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. Associated topics: canine detection,
explosive detection, metal detection, monitor, patrol officer,
protect, protection, safety report, secure, tsa
Keywords: CBOE, Olathe , Surveillance Analyst, Professions , Olathe, Kansas
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