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Analyst, Issuer Regulation

Business Support
19000778 Requisition #
Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst to join the Issuer Regulation team within NYSE Regulation. The individual in this position will serve as primary regulatory contact for an assigned group of NYSE and NYSE American issuers and their representatives, including management, financial advisors, outside counsel and auditors. The individual will work within a dynamic and cohesive team.

  • Provide guidance and interpretation of continued listing standards, policies and procedures including financial, corporate governance and shareholder approval requirements, to all constituents
  • Review and analyze transactions for compliance with the shareholder approval rules and process supplemental listing applications
  • Review and analyze periodic reports filed with the Securities and Exchange Commission and other documents to ascertain compliance with NYSE and NYSE AMERICAN quantitative and qualitative continued listing standards
  • Analyze material news and assist in determining whether a trading halt as appropriate
  • Manage non-compliant issuers as needed:  notify issuer senior management; evaluate proposed plans to regain compliance; prepare and present listing recommendations to NYSE Regulation senior management; initiate delistings for cause; coordinate delistings with corporate communications, securities operations, stock watch and client service
  • Maintain organized and complete documentation for SEC and internal audit inspection
Knowledge and Experience
  • Undergraduate degree in business, finance or accounting or equivalent experience
  • Working knowledge of accounting/financial statement analysis, general financial markets, and/or the securities industry
  • Ability to work independently and function effectively in a high-volume, rapid-pace, deadline-oriented, multi-task environment
  • Ability to review and process large amounts of information in a short timeframe
  • Excellent analytical, critical thinking and follow-up skills; attention to detail
  • Excellent communication skills
  • Ability to effectively interface with senior management of the exchange and representatives of listed issuers
  • Proficient with Microsoft Word/Excel and databases

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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