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Surveillance Analyst

📁
Business Support
📅
19000654 Requisition #
Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Surveillance Analyst to join NYSE Regulation.  As a member of the NYSE Regulation staff, the Surveillance Analyst will play a key  role in developing and enhancing surveillances that monitor for potential violations of the NYSE Group’s equities and options exchange rules and SEC rules and regulations.  The Surveillance Analyst will also review and investigate output of those surveillances to ensure that exchange systems are functioning properly.

Responsibilities
  • Create business requirement documents describing the logic of surveillances that will be implemented to monitor NYSE exchanges’ compliance with applicable statutes and rules
  • Review functional requirement specifications provided by Regulatory Technology to ensure that they align with business requirement documents
  • Conduct regular surveillance reviews to ensure that trading systems are designed and operating in a manner that is consistent with applicable statutes and rules
  • Investigate surveillance alerts that identify potential violations of applicable statutes and rules, communicating with exchange employees to learn relevant facts and ensure that any identified issues are appropriately addressed or escalated
  • Assess the impact of any new regulatory requirements on applicable NYSE equities and options exchanges and work with Regulatory Technology and Quality Assurance teams to ensure that those requirements are addressed by NYSE Regulation’s surveillance system
  • Review exchange system change specifications to identify any impact they may have on NYSE Regulation’s surveillance program.  Recommend new surveillances and enhancements to existing surveillances to ensure that systems are designed and operating in a manner that is consistent with applicable statutes and rules
  • Stay current on internal and external regulatory developments and work with team members to assess their potential impact on relevant market centers
Knowledge and Experience
  • Bachelor's degree with strong academic record
  • Experience in trading surveillance or compliance (preferred)
  • Strong understanding of US equities and options market structure, regulation, and related trading technology
  • Strong understanding of securities regulations such as Regulation NMS/Options Linkage Plan, Regulation SCI and Regulation SHO
  • Relevant surveillance experience that involves developing/improving surveillances, analyzing trading data, documenting findings, and raising regulatory concerns
  • Ability to work in a fast-paced and demanding environment while handling multiple projects at the same time
  • Significant experience working with applications such as Excel and Word
  • Ability to write SQL to extract large data
  • Excellent communication skills and judgment


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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