BOXR Employment opportunities

Surveillance Analyst

The Boston Stock Exchange (BSE) has an immediate opening for Surveillance Analysts. We are looking for passionate self-starters with knowledge of U.S. financial markets and regulation and experience performing routine tasks in an organized, professional and efficient manner. The successful candidates will be principally responsible for the daily review of automated exception reports and monitoring of real-time computer systems.  

Surveillance Analysts will be responsible for performing computer-based reviews of market surveillance data including analyzing all aspects of daily trading to assure compliance of all specialist, floor brokers, and customer trading in accordance with the rules established by the Exchange, the Securities and Exchange Act, and other regulatory authorities . Other responsibilities include:

• Reviewing market surveillance exception reports to identify violation of SEC and Exchange rules and regulations
• Following procedures to fruition with respect to opening and monitoring investigations, communicating with participants, and referring investigations to enforcement
• Participating in the design, testing, and implementation of new (and enhancement of existing) surveillance reports
• Meeting with, and providing feedback to respective peers in several different departments through-out the surveillance report development and implementation process
• Participating in the completion of special projects and assignments referred from the SEC, senior staff, participant firm compliance staff, and other departments

The successful candidate will understand options and/or equities and possess a Bachelor’s degree in Finance, Economics, or Business. Extensive experience with Crystal, Regional Exchange Data Summary, OnDemand (ISG audit trail), SIAC, COLD, BEAM, BEACON, NASDAQ Trading Engine, familiarity with DOT systems, Microsoft EXCEL, Access, Word and an online financial information system and service tool such as ILX is preferred.

The ideal candidate will possess exceptional communication skills (written and verbal), time management skills, strong analytical and organization skills, financial services experience, ability to work under pressure, and attention to detail. Knowledge of rules, regulations, policies, and procedures of an Exchange, the U.S. Securities and Exchange Commission, and other regulatory authorities is preferred. Knowledge of auction market principles, brokerage clearing and audit trail procedures a plus.

For more information, please contact julie.mcgoff@bostonoptions.com