Job Description Lead Options Surveillance Analyst The Lead Options Surveillance Analyst performs analysis of real-time and pattern-based surveillances of complex trading activity on the Cboe Exchanges to detect possible violations of Cboe and SEC rules and policies. In this role, the analyst will:
- Train and on-board Surveillance Analysts in accordance with existing policies, procedures and review methodologies.
- Provide alert review guidance to Surveillance Analysts
- Conduct oversight reviews of initial alert dispositions
- Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program
- Collaborate with various Cboe teams, particularly the Regulatory Technology, Options Investigation, and Reg SCI teams, to further enhance the Regulatory Program
- Provide first line review of Deep Dives, develop business requirements for Surveillance Alert enhancements, and perform end user validation of Surveillance Alert modifications
- Conduct Alert analysis on an as-needed basis
- Leverage AI and data analytics tools to refine surveillance alert logic, enhance alert triage, identify patterns in complex trading activity, and improve the efficiency of surveillance review processes Attendance at the workplace in a traditional office environment is required a minimum of 4 days per week.
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Skills and Requirements Required Skills:
- Bachelor's degree or equivalent required; finance, economics, business, or computer science
- At least 4 years of experience in a regulatory function that directly supports a Self-Regulatory Organization, or at least 2 years in a regulatory function that supports a Self-Regulatory Organization and 2 years in a compliance function that supports a professional trading business
- Strong written and verbal communication skills with proven ability to interact effectively with internal and external stakeholders.
- Exceptional written, verbal, analytical, and research skills and the ability to apply both quantitative and qualitative analysis with strong attention to detail
- Strong understanding of trading procedures, Exchange Rules, and obligations under the Securities Exchange Act of 1934.
- Highly proficient in MS Office suite products
Desired Skills:
- MBA or Masters preferred
- Experience with Trade Surveillance software preferred
- Experience with SQL and relational databases preferred