Surveillance Analyst

at Insight Global, LLC in Chicago, Illinois, United States

Job Description

Job Description

One of our clients in the global exchange industry is seeking an experienced professional to perform trading floor surveillance activities focused on identifying potential violations of exchange rules, federal securities regulations, and other applicable requirements governing trading activity. This position offers direct exposure to options and derivatives trading, market regulation, and real-time trading floor operations within a fast-paced exchange environment.

The ideal candidate will have a strong understanding of options markets, trading floor dynamics, and regulatory compliance, with the ability to identify complex issues, conduct detailed analysis, and make sound investigative recommendations.

Responsibilities

Maintain an active presence on the trading floor, monitoring and documenting potential violations of exchange rules and federal securities regulations.

Research potential regulatory concerns, evaluate evidence, analyze trading activity, and recommend appropriate resolutions to management.

Build and maintain a thorough understanding of the client’s trading and regulatory environment, including market structure, products, rules, regulations, and industry developments.

Participate in regulatory training, continuing education, and team meetings to stay current on market and regulatory changes.

Collaborate professionally with internal regulatory teams and external stakeholders, including self-regulatory organizations (SROs), market participants, and regulatory agencies.

Contribute to team projects, discussions, and problem-solving initiatives.

Develop and maintain knowledge of the exchange’s regulatory environment, technologies, systems, operational processes, investigative methodologies, and examination techniques.

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 HR@insightglobal.com.To 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

Strong understanding of derivatives markets, particularly options pricing methodologies, trading floor operations, and exchange regulations.

Knowledge of one or more of the following areas is preferred:

Securities or commodities futures regulation

Securities or derivatives trading

Options markets

Trading floor operations

Market surveillance

Analytical research

Back-office brokerage operations

Retail securities environments

Proficiency with Microsoft Office Suite, including Word, Excel, and Outlook.

Strong analytical skills with the ability to evaluate data, identify trends, establish logical conclusions, and make sound decisions.

Ability to manage multiple priorities, adapt to changing circumstances, and perform effectively under pressure while meeting deadlines.

Self-starter who can work independently while knowing when to seek guidance.

Strong written communication skills with the ability to produce clear, organized reports and regulatory documentation.

Strong verbal communication and interpersonal skills, with the ability to communicate effectively across various stakeholder groups.

Professionalism, discretion, and the ability to handle sensitive and confidential information appropriately.

Strong attention to detail and organizational capabilities. Plusses:

- Experience using trade surveillance software, specifically SMARTS

- Prior experience in a market surveillance, trade surveillance, or regulatory surveillance role

- Experience supporting SEC or exchange rule compliance initiatives