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CBRE · 2 months ago

Surveillance Analyst

Chicago, IL

Full-time

Hybrid

New Grad, Entry Level

$60K/yr - $74K/yr

Cboe Global Markets is a leading provider of market infrastructure and tradable products, dedicated to solving complex challenges in financial markets. The Surveillance Analyst role involves real-time surveillance and analysis of option markets to ensure compliance with Cboe and SEC rules.

CommercialFinancial ServicesProperty DevelopmentReal Estate

No H1B

Responsibilities

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 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

Qualification

Securities industry knowledgeRegulatory compliance experienceAnalytical skillsExcel proficiencySMARTS Trade SystemResearch skillsCommunication skillsOrganizational skills

Required

Bachelor's degree in Finance, Business, Computer Science, or related field

Knowledge of general securities industry, derivatives markets industry, and/or Cboe, C2, BZX, or EDGX rules and regulations

Must be proficient in Excel and/or other applications that are utilized to analyze data and trends

Must have strong analytical and research skills

Ability to 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

Ability to 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

Ability to 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

Ability to learn new information and concepts quickly and independently; take initiative to seek knowledge needed for the job or assignment

Ability to evaluate, analyze, and summarize data and facts in a manner that clearly documents the review conducted and the decisions made for the particular matter

Ability to work cooperatively in group situations; balance team and individual responsibilities; and exhibit objectivity and openness to others' views

Preferred

Financial markets experience preferred but not required

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

Experience with SMARTS Trade System Surveillance Software is a plus