Lead Surveillance Analyst

Insight Global; Chicago (IL); On-site; USD 120,000 - 180,000; Full time

Job summary

Insight Global is seeking a Lead Options Surveillance Analyst to oversee real-time and pattern-based surveillance of trading activity, ensuring compliance with Cboe and SEC rules. You will train analysts, provide guidance on alerts, and collaborate with Regulatory Technology and other teams to enhance the surveillance program.

The role requires a Bachelor’s degree and several years in regulatory or trading compliance, strong communication, and proficiency with data analysis tools.

Qualifications

• Bachelor’s degree in finance, economics, business, or computer science.
• 4+ years in regulatory functions supporting an SRO, or 2+ years in regulatory plus 2 years in a trading compliance function.
• Strong written and verbal communication with internal/external stakeholders.
• Analytical, with ability to apply quantitative and qualitative analysis and attention to detail.
• Strong understanding of trading procedures and Exchange Act obligations.
• Proficient in MS Office suite.

Responsibilities

• Train and onboard Surveillance Analysts per policies, procedures and review methodologies.
• Provide alert review guidance to Surveillance Analysts.
• Conduct oversight reviews of initial alert dispositions.
• Assist in maintaining internal policies related to the Cboe Surveillance Program.
• Collaborate with Regulatory Technology, Options Investigation, and Reg SCI teams.
• Provide first-line review of Deep Dives and validate Surveillance Alert changes.
• Conduct alert analysis on an as-needed basis.
• Leverage AI and data analytics to refine alert logic and improve triage.

Skills

Regulatory experience

Analytical thinking

Communication

Trading procedures knowledge

MS Office

Understanding of Exchange Act

Education

Bachelor's degree or equivalent in finance/economics/business/CS

MBA or Masters preferred

Tools

SQL

Relational databases

Surveillance software

Job description

Job Description

Lead Options Surveillance Analyst

The Lead Options Surveillance Analyst performs analysis of real-time and pattern-based surveillances of complex trading activity on the Cboe Exchanges to detect possible violations of Cboe and SEC rules and policies.

In this role, the analyst will:

• Train and on-board Surveillance Analysts in accordance with existing policies, procedures and review methodologies.
• Provide alert review guidance to Surveillance Analysts
• Conduct oversight reviews of initial alert dispositions
• Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program
• Collaborate with various Cboe teams, particularly the Regulatory Technology, Options Investigation, and Reg SCI teams, to further enhance the Regulatory Program
• Provide first line review of Deep Dives, develop business requirements for Surveillance Alert enhancements, and perform end user validation of Surveillance Alert modifications
• Conduct Alert analysis on an as-needed basis
• Leverage AI and data analytics tools to refine surveillance alert logic, enhance alert triage, identify patterns in complex trading activity, and improve the efficiency of surveillance review processes

Attendance at the workplace in a traditional office environment is required a minimum of 4 days per week.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to [e-mail] learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/.

Skills and Requirements

Required Skills:

• Bachelor’s degree or equivalent required; finance, economics, business, or computer science
• At least 4 years of experience in a regulatory function that directly supports a Self-Regulatory Organization, or at least 2 years in a regulatory function that supports a Self-Regulatory Organization and 2 years in a compliance function that supports a professional trading business
• Strong written and verbal communication skills with proven ability to interact effectively with internal and external stakeholders.
• Exceptional written, verbal, analytical, and research skills and the ability to apply both quantitative and qualitative analysis with strong attention to detail
• Strong understanding of trading procedures, Exchange Rules, and obligations under the Securities Exchange Act of 1934.
• Highly proficient in MS Office suite products Desired Skills:

• MBA or Masters preferred
• Experience with Trade Surveillance software preferred
• Experience with SQL and relational databases preferred