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Chicago Board Options Exchange (CBOE), the largest U.S. options exchange and creator of listed options, continues to set the bar for options trading through product innovation, trading technology and investor education.CBOE offers equity, index and ETF options, including proprietary products, such as S&P 500 options (SPX), the most active U.S. index option, and options on the CBOE Volatility Index (VIX), the world's barometer for market volatility. Other groundbreaking products engineered... Read More
|Address||400 S La Salle St # 1 Chicago, IL 60605|
|Holding||No Holding Details|
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Duties and Responsibilities:
Performs a combination of the following duties according to departmental guidelines:
· Perform regular in-depth and timely surveillance of Trading Permit Holder Organizations, understand the business model and risks presented by the TPH, and identify potential financial and operational difficulties. Review and analyze regulatory filings and other data obtained from TPH Organizations. Use in-house systems to conduct daily and monthly review of financial data submitted. Determine what issues noted during daily and monthly surveillance need to be escalated and further investigated.
· Act as a liaison to and communicate continuously with assigned TPH firms. Address questions, handle requests, and provide interpretations of CBOE and SEC rules. Participate in the planning of examinations of assigned TPH’s.
· Produce summary reports related to a TPH’s financial stability and performance.
· Build and maintain a thorough understanding of CBOE’s trading and regulatory environment, as well as the broader securities industry, in areas such as markets, products, relevant rules and regulations, technologies and systems, processes and operational methodologies, and surveillance techniques. Participate in departmental training/continuing education opportunities and meetings.
· May conduct investigations and pre-membership reviews.
· Perform other duties as assigned.
· 3 or more years experience in a securities, finance, regulatory or auditing role which includes directly related experience in accounting, broker-dealer risk management, regulatory reporting, and knowledge of SEC Rules 15c3-1, 15c3-3 and 17a-5.
Knowledge, Skills and Abilities:
· General understanding of preparation and analysis of FOCUS reports preferred.
· Intermediate level computer skills with MS Office software
· Ability to:
o interact in a professional manner with internal and external contacts; use tact and diplomacy; maintain confidentiality; appropriately handle and communicate controversial or sensitive information
o evaluate, analyze, and summarize data and facts; establish logical connections; form sound decisions based on analysis
o organize and prioritize tasks and work assignments; complete multiple tasks simultaneously with accuracy and quality; adjust to changes in priorities and situations; complete work under pressure; meet deadlines
o create clearly-written, organized documents and correspondence with correct grammar, spelling and punctuation
o organize and express ideas clearly and understandably when speaking to individuals or groups; use professional grammar and word choice; listen to others and respond appropriately
o respond to inquiries or requests for assistance promptly and courteously; identify customer needs through active listening and clarifying questions; meet commitments and check for customer satisfaction; manage difficult or emotional customer situations
Bachelor’s degree in Finance or Accounting required. Master’s degree preferred. Series 27 qualification examination preferred.
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