Equities Surveillance Analyst, Regulatory
Core
Analyze real-time and pattern-based surveillance data of securities traded on Cboe Exchanges to detect possible violations of Cboe and SEC rules.
Role type
Regulatory surveillance analyst
Builds
Detection of market rule violations and regulatory compliance
Domain
Financial markets / Securities regulation
Deliverable
production ML models
Required skills
Data analysis, SQL, VBA, MS Office, quantitative analysis, research skills
Preferred skills
Trade surveillance software, relational databases, securities markets knowledge, AI/machine learning, Certified Fraud Examiner (CFE)
Technologies
SQL, VBA, Access, AI, machine learning
Responsibilities
Conduct surveillance by analyzing and compiling data of securities traded on Cboe Exchanges; Document surveillance findings and refer potential rule violations to the Investigations team; Test and calibrate surveillance parameters and alert thresholds; Leverage AI and other emerging technologies to enhance surveillance effectiveness; Stay apprised of industry trends and regulatory enforcement actions.
Seniority
Mid-level, hands-on IC