Trading Floor Surveillance Analyst

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Trading Floor Surveillance Analyst

mid · Risk & Compliance

Job Description:

• Job Description SummaryPerform trading floor surveillance activities to assist in determining possible violations of Cboe rules, federal securities regulations, and other applicable rules and regulations governing trading activity. In addition to performing floor surveillance, the use of various programs and ability to identify complex issues in a fast paced environment.
• Job Description

  Duties and Responsibilities:

  ·               Maintains a presence in the SPX/VIX trading crowd monitoring/documenting possible violations of Exchange Rules including rules governing the trading floor and of the Securities Exchange Act of 1934 Researches issues, evaluates and analyzes evidence and recommends appropriate disposition to management for review.

  ·               Builds and maintains a thorough understanding of CBOE's trading and regulatory environment, as well as the broader securities industry, in areas such as markets, products, relevant rules and regulations.  Actively participates in departmental training/continuing education opportunities and meetings. 

  ·               Professionally interacts with internal regulatory staff and external contacts (such as Self-Regulatory Organizations, trading permit holders, SEC).  Actively participates in team projects, discussions and problem solving.

  ·               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. 

  Knowledge, Skills and Abilities:

  ·         Working knowledge of derivatives markets, especially option pricing methodologies, CBOE rules, policies and trading floor procedures.

  ·         Working knowledge in one or more of the following areas preferred: securities or commodities futures regulation, securities or commodities futures trading with experience in options, analytical research, varied trading floor operations, back office, or retail securities

  ·         Basic level skills in MS Office (Word, Excel and Outlook) and other business related software

  ·         Ability to evaluate, analyze, and summarize data and facts; establishes logical connections; forms sound decisions based on analysis.

  ·         Organizes and prioritizes tasks and work assignments; completes multiple tasks simultaneously with accuracy and quality; adjust to changes in priorities and situations; completes work under pressure; and meets deadlines

  ·         Completes work without the need for prompting from supervisor or others; successfully completes most tasks independently, asking for additional support when appropriate

  ·         Creates clearly-written, organized documents and correspondence with correct grammar, spelling and punctuation; prepares detailed written reports including logical, factual analysis with clarity, completeness, and accuracy

  ·         Organizes and expresses ideas clearly and understandably when speaking to individuals or groups; uses professional grammar and word choice; listen to others and respond appropriately

  ·         Interacts in a professional manner with internal and external contacts; uses tact and diplomacy; maintains confidentiality; appropriately handles and communicates controversial or sensitive information

  Experience:

  ·               3-6 years or more of options trading experience.

  Education

  ·               Bachelor’s degree in Economics, Business or Finance.

• Additional Job Description

This position is not eligible for visa sponsorship. Candidates must be legally authorized to work in the United States without the need for employer sponsorship now or in the future.

Salary Ranges (applicable for US locations only)

This role may also be eligible for annual incentive compensation and, where applicable, participation in Cboe's long-term equity programs.

Additional information about Cboe's total rewards program, including benefits and other compensation components, can be found here: Total Rewards at CBOE.​
 

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.