Full-Time

Market Surveillance Analyst

Posted on 11/20/2024

Tastylive

Tastylive

51-200 employees

Financial network for options and futures trading

Data & Analytics
AI & Machine Learning
Financial Services

Junior, Mid

Chicago, IL, USA

Office located in the West Loop, Chicago.

Category
Risk Management
Finance & Banking
Required Skills
Word/Pages/Docs
Data Analysis
Excel/Numbers/Sheets
Requirements
  • 2-4 years’ of experience in trade surveillance, regulation, compliance, analytics, or a closely related field at an exchange, self-regulatory organization, Broker-Dealer, Futures Commission Merchant, or similar financial services organization (recent graduates may be considered based on education, internship, or other similar experience)
  • Knowledge of the Commodity Exchange Act and the rules and regulations promulgated thereunder
  • Strong software aptitude, analytical, and quantitative skills; ability to research, schedule, analyze, and present findings
  • Excellent oral and written communication skills
  • Ability to work both independently, as well as in a small-team environment with minimal supervision
  • MS Office: Intermediate to advanced knowledge of MS Word and MS Excel
  • Working knowledge of various proprietary market regulation systems, preferred
  • Bachelor’s degree in a relevant field or equivalent work experience within the financial services industry
Responsibilities
  • Utilize third-party and proprietary market surveillance software to conduct real-time trade analysis and market surveillance, as well as post-trade compliance monitoring
  • Review daily system-generated reports, such as trade activity reports, exception reports, and alerts triggered by surveillance systems, to ensure compliance with regulatory requirements and Exchange rules
  • Document compliance and surveillance reviews and findings and assist with the preparation of regulatory findings and annual reports
  • Conduct investigations in connection with the Exchange’s monitoring of compliance with position limits, delivery, and reporting rules
  • Develop a solid understanding of surveillance and product rules, deliveries and back-office protocols, and surveillance and investigative techniques
  • Exhibit strong written and verbal communication skills
  • Routinely interact with market participants and clearing firms in connection with Exchange surveillance reports and other compliance-related issues
  • Perform ongoing monitoring of Exchange participants, market participation, deliveries, news, and economic performance of assigned products, and demonstrate a solid understanding of the fundamental factors influencing pricing of assigned contracts
  • Prepare written reports for review by management and, in situations involving material rule violations, presented to Exchange disciplinary committees
  • Assist with managing the Exchange’s code of ethics, personal trading policies, and email reviews, utilizing compliance software
  • Identify ways of creating efficiencies/improving processes to the Exchange’s compliance program using best practices
  • Monitor changes in regulatory environments and update internal policies and procedures accordingly
  • Ensure Exchange files are accurately maintained, complete, and consistently updated

tastylive offers a financial network for options and futures trading, featuring live market talk and informative shows hosted by industry experts. The platform utilizes dxFeed Technology to deliver engaging and actionable segments and resources for traders, in partnership with Cboe and CME Group.

Company Stage

Series C

Total Funding

$1B

Headquarters

Chicago, Illinois

Founded

2011

Growth & Insights
Headcount

6 month growth

-18%

1 year growth

-3%

2 year growth

-18%
INACTIVE