Equities Surveillance Analyst, Regulatory
Core
Analyze real-time and pattern-based securities data to detect potential violations of Cboe Exchange rules and SEC regulations.
Role type
Equities Surveillance Analyst
Builds
Market surveillance programs and rule violation detection workflows
Domain
Financial markets / Regulatory compliance
Deliverable
production ML models | dashboards & analysis
Required skills
Data analysis, quantitative and qualitative analysis, MS Office, SQL, VBA, Access, regulatory rule interpretation
Preferred skills
Trade surveillance software, AI/machine learning tools, securities markets knowledge, CFE certification
Technologies
SQL, VBA, Access, AI, machine learning
Responsibilities
Analyze and compile data of securities traded on Cboe Exchanges to detect possible violations of Cboe and SEC rules; Document surveillance findings and refer potential rule violations to the Investigations team; Test and calibrate surveillance parameters and alert thresholds to improve detection accuracy; Leverage AI and emerging technologies to enhance surveillance effectiveness; Stay apprised of industry trends and regulatory enforcement actions; Collaborate with regulatory technology and investigation teams.
Seniority
Mid-level, hands-on IC
