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Lead Analyst, Regulation
3 months ago
Job Purpose
The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Lead Analyst to join NYSE Regulation's Prevention Group.
The Lead Analyst will have responsibility for providing regulatory guidance to and market oversight of the NYSE Group's US securities exchanges by assessing new business proposals to determine whether they implicate exchange rules or the federal securities laws, and by advising on the development of new rules to accommodate such proposals.
Responsibilities- Work closely with senior management of NYSE Regulation and NYSE Group on complex and cutting-edge issues related to equities and options market structure and trading.
- Work with business owners and NYSE Group's legal department to review new business proposals, including proposed technology system changes, and provide regulatory guidance to help ensure that such changes are consistent with exchange rules and the federal securities laws.
- Assess the regulatory impact of new business proposals and regulatory requirements on applicable market centers and work with appropriate teams to ensure readiness and compliance.
- Working closely with technology and operations teams, conduct reviews of Exchange trading systems and critical processes to ensure that they operate in a manner consistent with applicable rules and regulations.
- Review draft rules to assess whether they comport with the operation of exchange systems and regulatory requirements.
- Assist business units in evaluating system issues to assess potential regulatory impact and prioritization of remediation efforts.
Qualified candidates should have experience with equities or options trading systems, preferably with exposure to legal and regulatory issues involving securities exchanges and trading compliance.
The Lead Analyst will analyze system change proposal to determine potential rule impact and will conduct reviews to ensure that exchange systems are operating in alignment with securities laws and exchange rules governing equities and options trading.
Other qualifications include:
- A bachelor's degree or equivalent work experience.
- Understanding of trading, market structure, and securities laws.
- Experience with exchange and/or trading systems (strongly preferred).
- Ability to critically analyze system change proposals and related exchange rules and securities laws to determine any potential impact of the proposal(s).
- Ability to effectively communicate orally and in writing with outside constituents and with colleagues of all levels.
- Sound judgment.
- Excellent organizational and time management skills with appropriate attention to detail.
- Ability to work independently while contributing in a collegial team-oriented manner on multiple, complex projects with tight deadlines.
- Strong professional commitment and the ability to work beyond regular business hours as necessary.
The expected base salary for this role if located in New York City is between 121, ,400 USD. The base salary range does not include Intercontinental Exchange's incentive compensation.
While we provide this range as general guidance, at ICE we compensate employees based on the skillset and experience of the individual.
Intercontinental Exchange, Inc. is an Equal Opportunity and Affirmative Action Employer.All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin or ancestry, age, disability or veteran status, or other protected status.
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