Intern, Registration Services
Provides services related to the application process for and approval of trading privileges and access to CBOE Holdings, Inc.’s exchanges (CBOE, CFE, and C2).
Duties and Responsibilities:
Performs a combination of the following duties according to departmental guidelines:
Process individual and firm applications for trading permits. Communicate with current and prospective trading permit holders to collect and review required application paperwork and documentation such as fingerprint records, Form U4 and other materials. Create application files and checklists. Submit requests for background investigations completed by outside vendor. Collect required fees and maintain accounting log.
Enter new applicant information into department databases and systems (such as Trading Permit System (TPS)). Monitor application processes and perform follow-up requests for supporting documents to ensure applications are completed within departmental timelines. Ensure applicants have met CBOE examination requirements. Compile completed documents and investigative results for management approval. Create approval letters.
Handle customer requests/inquiries (phone, email and in-person) and respond within a 2-hour period. Manage all information and data in a highly confidential manner, both internally and externally. Provide assistance to internal departments regarding registration and fingerprint issues. Set up internal staff access to systems and reports as required.
Process firm requests for assignment and removal of Market Maker, Floor Broker or Electronic Access Permits assigned for trading/routing. Process fingerprint reports for trading permit holders and associated staff. Collect fingerprint fees and document in Accounting Log. Send correspondence to firms.
Follow departmental procedures for maintaining accuracy of department databases and systems. Verify permit holder files by monitoring for new or changed WebCRD information, and updating ownership information.
Work with internal departments (such as Help Desk, API groups) to establish items for trading access such as system logins and acronyms. Work with external parties such as clearing firms and Options Clearing Corporation (OCC) to verify information required for trading.
Provide clerical support for the department such as maintaining databases, spreadsheets, electronic and physical files. Scan documents for electronic filing. Identify and recommend ways to improve efficiency and/or automate manual processes.
Perform other duties as assigned.
Junior or Senior (undergraduate) in good academic standing
1 + or more year’s industry-related office or customer service experience, including report preparation, research and communicating rules/regulations.
Knowledge, Skills and Abilities:
Proficiency in MS Outlook, Word, Excel, PowerPoint
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
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
be thorough and precise when accomplishing a task; double-check accuracy to consistently provide high-quality work with minimal errors; compare work to what is expected to find and correct inconsistencies; remain aware and take care of details for all aspects of the job involved, even those easy to overlook
create clearly-written, organized documents and correspondence with correct grammar, spelling and punctuation
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
Some college coursework preferred.