Surveillance Analyst (Equities)

Required Skills & Experience

-2+ years of relevant professional experience. -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. -Strong written, analytical, and research skills with the ability to apply both quantitative and qualitative analysis. -Strong attention to detail, organization, and communication skills. -Highly proficient in Microsoft Office Suite.

Nice to Have Skills & Experience

Exposure to trade surveillance software. Experience with relational databases (SQL, VBA, Access). Knowledge of securities markets and the 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).

Job Description

Position Summary

Cboe is actively seeking a highly motivated individual to join their Equity Surveillance Team. The Surveillance Analyst performs analysis of real-time and pattern-based surveillances to detect possible violations of exchange 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 help shape how the organization detects and responds to activity inconsistent with exchange rules and regulatory requirements.

Responsibilities

-Conduct surveillance by analyzing and compiling data of securities traded on the client's exchanges to detect possible violations of exchange 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 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 internal teams, particularly regulatory technology and investigations, to further enhance the regulatory program. -Build and maintain an understanding of the client's 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 and continuing education opportunities and meetings. -Perform other related duties as required or requested.