Analyst, Market Surveillance

Overview

The New York Stock Exchange, a subsidiary of Intercontinental Exchange, is looking for a Market Surveillance Analyst to join the Surveillance and Investigations team within NYSE Regulation. This role focuses on preserving market integrity and protecting investors by detecting, analyzing, and investigating potential breaches of exchange regulations and federal securities laws. The analyst will specifically oversee equities and options trading systems to verify their proper functioning.

Key Responsibilities

• Perform routine surveillance evaluations to confirm that NYSE trading systems comply with all pertinent laws and regulations.
• Investigate alerts flagged by monitoring systems for possible rule and law violations, engage with exchange personnel to gather relevant details, and ensure discovered issues are resolved or appropriately escalated.
• Evaluate how new regulatory changes impact NYSE equities and options exchanges, collaborating with Regulatory Technology and Quality Assurance teams to integrate these into surveillance processes.
• Analyze system change specifications to determine effects on surveillance operations; propose new or enhanced surveillance measures to meet legal compliance.
• Draft detailed business requirement documents outlining surveillance logic designed to monitor compliance.
• Review functional specs from Regulatory Technology for consistency with business requirements.
• Stay informed on evolving regulations and coordinate with team members to assess impacts on NYSE markets.

Qualifications and Skills

• Bachelor’s degree with a strong academic background.
• Deep understanding of US equities and options market structure, regulations, and trading technologies.
• Familiarity with securities regulations such as Regulation NMS, the Options Linkage Plan, Regulation SCI, and Regulation SHO.
• Strong analytical and quantitative skills for examining complex data to pinpoint possible compliance issues.
• Skilled in composing and running SQL queries against large datasets.
• Excellent written and verbal communication skills to clearly present surveillance findings to management and regulators.
• Ability to manage multiple priorities under tight deadlines in a fast-paced, collaborative setting with minimal supervision.

Additional Information

Base salary range for New York location is approximately $88,000 to $105,000 per year, excluding performance-based incentives. ICE offers comprehensive benefits including medical, dental, vision coverage, 401(k), life insurance, paid time off, and leave for qualifying circumstances. ICE is an Equal Opportunity Employer committed to fairness in hiring practices regardless of protected characteristics.