Surveillance Analyst

Overview:

Job Purpose

The New York Stock Exchange (a subsidiary of the Intercontinental Exchange) is seeking a Surveillance Analyst to join the Surveillance and Investigations team within NYSE Regulation. The primary responsibility of this position will be to support the integrity of the NYSE markets and protect investors by identifying, analyzing and investigating potential violations of those exchanges' rules and the federal securities laws. The Surveillance Analyst will have the responsibility for reviewing and investigating potential violations of the NYSE exchanges’ rules and federal securities laws that are identified by NYSE Regulation’s surveillance systems and through complaints, referrals, and other means. The Surveillance Analyst will conduct equities-and options-related reviews to ensure that exchange trading systems function properly.

 

Responsibilities

• Conduct surveillance reviews to ensure that the NYSE exchanges’ trading systems are designed and operating in a manner that is consistent with applicable statutes and rules.
• Conduct routine reviews to detect possible violations of NYSE exchange rules and federal securities laws by member firms.
• Collaborate with colleagues and engage in fact finding to determine if further investigation and escalation is warranted.
• Investigate surveillance alerts that identify potential violations of statutes and rules, communicate with exchange employees to gather relevant facts, and ensure that any identified issues are appropriately addressed or escalated.
• Assess the impact of 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.
• Develop business requirement documents that define the surveillance logic to be implemented to monitor NYSE exchanges and their members’ compliance with applicable statutes and rules.
• Review functional requirement specifications provided by Regulatory Technology to ensure that they align with business requirement documents.
• Monitor internal and external regulatory developments and collaborate with team members to assess their compliance impact on NYSE equities and options exchanges.

 

Knowledge and Experience

• Bachelor’s degree with strong academic record
• Knowledge of US equities and options market structure, regulation, and related trading technology
• Proficient analytical and quantitative abilities
• Ability to research and analyze trading data to identify potential violations of exchange rules and the federal securities laws and recommend appropriate responses
• Excellent written and verbal communication skills
• Proficient in writing and executing SQL queries against large data sets
• Ability to present surveillance and investigative findings clearly and concisely to management and other regulatory stakeholders
• Ability to work on and prioritize multiple tasks with tight deadlines
• Ability to work in a fast-paced, team-oriented environment with minimal supervision

New York Base Salary Range

The expected base salary for this role, if located in New York, is between $92,000 - $110,000 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. Regular full-time ICE employees are eligible for a suite of competitive employee benefits, including healthcare coverage (medical, dental and vision), a 401(k) plan, life insurance, time off, and paid leave for qualifying circumstances.

----------: Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.