Job Description

Department: Office of Market Supervision (OMS)

Reports to: Director, Trading Floor

Status: Full Time, Exempt

Location: Chicago, fully in-person

Position Summary:

Under the supervision of the Director, Trading Floor, the Trade Floor Analyst position is responsible for providing real-time regulatory oversight of BOX Trading Floor Participants’ activities on the BOX Trading Floor to ensure a fair and orderly market pursuant to BOX Exchange and or SEC rules; conducting initial trade analysis and routine to more complex surveillance and trade reviews; and assisting the Trading Floor management with various assignments as delegated.

Position Duties:

• Provide real-time regulatory oversight of the Trading Floor.
• Analyze routine to more complex Trading Floor situations.
• Complete routine to more complex surveillance and trade reviews to identify issues involved.
• Analyze the types of evidence (data and information) necessary to make an initial assessment regarding whether certain activity violates BOX Exchange and/or SEC rules.
• Assist in identifying trends and updating and enhancing policies and procedures.
• Various other assignments as delegated by Trading Floor management.

Education & Experience:

• Bachelor’s degree in Finance, Economics or Mathematics required.
• 2+ years of prior compliance or regulatory oversight experience preferred.

Job Knowledge Skills:

• Excellent ability to work collaboratively and act persuasively in sensitive situations; practiced in conflict management techniques.
• Demonstrated ability to develop an intermediate level of understanding of equity options trading.
• Interpersonal skills to work effectively and establish collaborative working relationships with persons from diverse backgrounds and at various organizational levels within and outside the trading floor community, with sensitivity to confidentiality and the cultural differences of a diverse working environment.
• Ability to understand and process more complex client specific instructions and Trading Floor procedures.
• Escalate known or potential issues to management.

Technical and Communication Skills:

• Proficiency in mathematics.
• PC based software programs such as Microsoft Office, Excel, and Access are required, SQL and programming experience a plus.
• Exceptional oral and written communication skills are required.
• Ability to work under pressure, handle multiple assignments and deadlines.
• An aptitude for analytical and problem resolution.
• Self-starter, proactive and objective oriented.
• Ability to identify, analyze, resolve and, when needed, escalate a problem.

Target Salary Range:

$60,000 - $100,000, plus bonus if located in Illinois

Salaries vary by location and are based on numerous factors, including, but not limited to, the relevant market, skills, experience, and education of the selected candidate. If an estimated salary range for this role is available, it will be provided in our Target Salary Range section.

BOX Exchange offers a competitive benefits package, including comprehensive medical, dental, and vision coverage for employees and their families, long-term and short-term disability, life and AD&D insurance, paid time off plans, an employee assistance program, a 401(k) plan and more.

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