Position SummaryThe Cboe Regulatory Division (the "Division") is actively seeking a highly motivated individual to join our Equity Surveillance Team. The Surveillance Analyst performs analysis of real-time and pattern-based surveillances to detect possible violations of Cboe BZX, BYX, EDGX, and EDGA (collectively, the "Exchanges") Rules and other applicable rules and regulations governing Exchange Members. This role offers direct exposure to the intersection of market structure, data analytics, and emerging technology, working alongside regulatory technology and investigations teams that shape how the Exchanges detect and respond to activity inconsistent with Exchange rules and regulatory requirements.
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.
- Document surveillance findings and refer potential rule violations to the Investigations team, including clear analysis and supporting evidence.
- Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program.
- Stay apprised of industry trends, regulatory enforcement actions, and market events to help inform Regulatory Program priorities and identify emerging areas of surveillance risk.
- Leverage AI and other emerging technologies to enhance the effectiveness and efficiency of existing surveillances, and assist in designing, testing, and implementing new AI-driven surveillance concepts and techniques.
- Test and calibrate surveillance parameters and alert thresholds to improve detection accuracy and improve alert yield.
- Collaborate with various Cboe teams, particularly the regulatory technology 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.
- Contribute to team projects, discussions, and problem solving.
- Actively participate in training/continuing education opportunities and meetings.
- Perform other related duties as required or requested.
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: - Exposure to Trade Surveillance software.
- Experience with relational databases (SQL, VBA, Access).
- Knowledge of the securities markets and trading industry.
- Certified Fraud Examiner (CFE) credential from the Association of Certified Fraud Examiners (ACFE).
- Experience using AI and other emerging technologies (e.g., generative AI, machine learning, or AI-assisted analytics tools).
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
