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Surveillance Analyst, NYSE Regulation

Business Support
20000304 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 have responsibility for reviewing and investigating potential violations of the NYSE exchanges’ rules and federal securities laws that are identified by the NYSE’s surveillance systems and through other monitoring tools, complaints, and referrals.  The Surveillance Analyst will conduct options- and equities-related reviews to ensure that exchange surveillance systems function properly.

  • 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
  • Determine if matters warrant further investigation and escalation
  • Assist with the preparation of memoranda to recommend dispositions of completed investigations and present findings to the NYSE’s Disciplinary Action Committee
  • Assist with the creation, development and review of procedures
  • Assist with the refinement of surveillance systems to ensure that alert output is meaningful and valid; recommend enhancements to those systems
  • Investigate 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
  • Understanding of equities and/or options exchanges and trading
  • Experience relevant to securities markets or compliance (preferred)
  • Experience with Java-based applications (preferred)
  • Solid data analytics capabilities
  • Ability to write and execute SQL queries against large data (preferred)
  • Sound judgment
  • Excellent communication skills
  • Ability to work on and prioritize multiple tasks with tight deadlines
  • Ability to work in a fast-paced, team-oriented environment with minimal supervision
  • Ability to work with and synthesize large data files

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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