Advancing global markets
starts with great people.

 

Join the largest (and only) exchange operator in the Fortune 500.

 

"Our people, who are our greatest
asset, make what we do possible."
- Jeffrey Sprecher, CEO

 

Help transform markets anywhere around the globe.

 
📁
Business Support
📅
19000962 Requisition #
Job Purpose

The New York Stock Exchange, a subsidiary of Intercontinental Exchange, Inc. (ICE) presents an opportunity for a full-time On-Floor Surveillance Analyst in NYSE Regulation.  Working on the floor of the New York Stock Exchange, the analyst will have primary responsibility for on-floor surveillance of that trading venue.  Utilizing NYSE Regulation’s surveillance systems and regularly interacting with the floor trading community, the analyst will review and investigate potential violations of the NYSE’s rules and federal securities laws by exchange members.

Responsibilities
  • Serve as an on-floor representative of NYSE Regulation on the NYSE trading floor
  • Monitor floor-based exchange systems to ensure rule compliance by floor brokers and designated market makers (DMMs) on the trading floor
  • Interact with floor brokers and DMMs, escalating issues and providing regulatory guidance
  • Monitor activity on the trading floor to identify, escalate, and resolve potential regulatory issues
  • In instances where input from NYSE Regulation is needed, work with NYSE Operations staff to resolve trading issues
  • Review order and trading activity based upon a variety of real-time and other alerts generated by surveillance systems
  • Research transactions identified for further investigation and document findings
  • Issue formal requests for information to members and analyze their responses
  • Assist with the preparation of memoranda that recommend dispositions of completed investigations and present recommended disciplinary actions to the Disciplinary Action Committee
  • Assist with the creation, development and review of NYSE Regulation procedures
  • Assist with the refinement of surveillance systems to ensure that alert output is meaningful and valid; recommend enhancements to those systems
  • Investigate regulatory issues arising from NYSE business and operations units
  • Identify and mitigate situations that may adversely impact the integrity of NYSE markets
Knowledge and Experience
  • Bachelor’s degree with strong academic record preferred
  • Experience relevant to securities markets or compliance, particularly with regard to on-floor trading (preferred)
  • Understanding of on-floor equities and/or options trading
  • Experience with Java-based applications
  • Sound judgment
  • Excellent communication skills
  • Solid data analytics capabilities
  • Ability to work with and synthesize large data files
  • Ability to write and execute SQL queries against large data
  • Ability to work on and prioritize multiple tasks with tight deadlines
  • Ability to work in a fast-paced, team-oriented environment with minimal supervision



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.

Previous Job Searches

My Profile

Create and manage profiles for future opportunities.

Go to Profile

My Submissions

Track your opportunities.

My Submissions

Similar Listings

United States, NY, New York

📁 Business Support

Requisition #: 19000943

United States, NY, New York

📁 Business Support

Requisition #: 19000654

United States, NY, New York

📁 Business Support

Requisition #: 19001036

Follow Us:
  • Facebook
  • Instagram
  • Twitter
  • Snapchat
  • LinkedIn