Equities Surveillance Analyst, Regulatory

Cedar Cares, Inc; Lenexa (KS); On-site; USD 72,000 - 94,000; Full time

Benefits offered by this job

Fair and competitive salary

Generous paid time off

Flexible, hybrid work environment

Health, dental and vision benefits

2:1 401(k) match

Employee stock purchase plan

Tuition assistance

Volunteer opportunities

Job summary

Cboe Global Markets is seeking a Surveillance Analyst to analyze real-time data and detect possible violations of Exchange rules. You will document findings and support investigations while staying current on industry trends to inform program priorities.

The role emphasizes collaboration with regulatory technology and investigations teams, as well as leveraging AI to enhance surveillance capabilities and ensure accurate alerting.

Qualifications

• Bachelor's degree required; economics, business, accounting, CS, or finance preferred.
• 2+ years of work experience in surveillance or regulatory roles is desirable.
• Strong research and analytical skills with quantitative and qualitative analysis.

Responsibilities

• Analyze real-time data and patterns to detect violations of Exchange rules.
• Document findings with clear supporting evidence for investigations.
• Maintain internal policies related to the Surveillance Program.
• Stay updated on regulatory actions and market events informing priorities.
• Leverage AI and emerging tech to enhance surveillance effectiveness.
• Calibrate surveillance parameters and alert thresholds for accuracy.
• Collaborate with regulatory technology and investigations teams.

Skills

Analytical thinking

Written communication

Verbal communication

MS Office proficiency

Independent work

Education

Bachelor's degree

Economics, Business, Accounting, CS, or Finance preferred

Tools

SQL

VBA

Access

Job description

At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructure that powers the global economy. As a leading provider of market infrastructure and tradable products, Cboe delivers cutting‑edge trading, clearing and investment solutions to market participants around the world. We’re building inclusive ways to support professional and personal development while strengthening the trust we’ve earned as a global market leader. Our teams are empowered to share ideas, actively pursue them, and bring on a challenge. As champions of internal mobility and access to opportunity, we encourage our people to “go for it” and equip our managers with the training to coach their teams to the next level. We strive to provide employees with a safe space to network, share ideas, and create opportunities. To support strong partnership and team connection, this role follows a four day in office work model.

Position Summary The Cboe Regulatory Division (the “Division”) is actively seeking a highly motivated individual to join our Equity Surveillance Team. The Surveillance Analyst performs analysis of real-time and pattern‑based surveillances to detect possible violations of Cboe BZX, BYX, EDGX, and EDGA (collectively, the “Exchanges”) 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 shape how the Exchanges detect and respond to activity inconsistent with Exchange rules and regulatory requirements.

Your responsibilities will be:

• Conduct surveillance by analyzing and compiling data of securities traded on the Cboe Exchanges to detect possible violations of Cboe 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 Cboe 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 Cboe teams, particularly the regulatory technology and investigation teams, to further enhance the Regulatory Program.
• Build and maintain an understanding of the Cboe Exchanges’ 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/continuing education opportunities and meetings.
• Perform other related duties as required or requested.

The ideal candidate has:

• Minimum Years of Work Experience: 2+ years
• Minimum Education Requirement: 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.
• Must have written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis.
• Strong attention to detail, organization, and effective communication skills, verbal and written.
• Highly proficient in MS Office suite products.

You’ll really stand out with:

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

Benefits and Perks

We value the total wellbeing of our people – including health, financial, personal and social wellness. We believe standard benefits like health insurance and fair pay are a given at any organization. Still, you should know we offer:

• Fair and competitive salary and incentive compensation packages with an upside for overachievement
• Generous paid time off, including vacation, personal days, sick days and annual community service days
• Flexible, hybrid work environment
• Health, dental and vision benefits, including access to telemedicine and mental health services
• 2:1 401(k) match, up to 8% match immediately upon hire
• Discounted Employee Stock Purchase Plan
• Tax Savings Accounts for health, dependent and transportation
• Employee referral bonus program
• Volunteer opportunities to help you give back to your communities

Some of our employees’ favorite benefits and perks include:

• Complimentary lunch, snacks and coffee in any Cboe office
• Paid Tuition assistance and education opportunities
• Generous charitable giving company match
• Paid parental leave and fertility benefits
• On‑site gyms and discounts to other fitness centers

More About Cboe Global Markets

We’re reimagining the future of the workplace by focusing on what matters most, our people. Our journey is an inclusive one. We’re investing deeply in leadership programs and career development initiatives that ensure everyone has an equal chance to succeed. We work with purpose, solving problems with ingenuity, collaboration, and a lot of passion. We’re an engaged and excited team connecting markets across borders and embracing growth in all its forms to achieve incredible outcomes. Learn more about life at Cboe on our website and LinkedIn.

Equal Employment Opportunity

We're proud to be an equal opportunity employer do not discriminate against any employee or applicant for employment based on any legally protected characteristic, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or Veteran status. We are committed to fostering a workplace where all individuals are valued and respected.

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)

At Cboe, we are committed to providing a competitive, transparent, and market‑informed total rewards program. The anticipated base salary range for this role is $72,250-$93,500, with actual compensation determined by job‑related factors such as skills, relevant experience, education, internal alignment, and location. 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.

Additional communication policy

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. Cboe is always looking for intelligent, innovative and hard‑working individuals. Our success is based on our talented team of industry and technology professionals, which we believe is the strongest in the industry, and we pride ourselves on hiring the best and brightest.

Contact

If you have further questions, please reach out to the Cboe HR team at [e-mail]