Analyst, Initial Listings and Extended Hours Trading, NYSE Regulation

Overview:

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst, Initial Listings and Extended Hours Trading, to join the NYSE Regulation team. The analyst will have two primary responsibilities. First, the analyst will review and analyze prospective issuers seeking to list on the NYSE, NYSE American, NYSE Arca, and NYSE Texas (“Exchange”) markets for compliance with Exchange corporate governance and financial listing requirements and perform continued listing supervision of listed exchange-traded products (“ETPs”) and options. Second, the analyst also will monitor trading activity, potential clearly erroneous executions, issuer and market news for corporate actions and trading halts, and potential Reg SCI issues in the NYSE overnight trading session (or, extended hours trading). Further, the analyst will be responsible for escalating identified issues to NYSE Regulation senior management. The analyst will be part of a dynamic and collaborative team.

 

Responsibilities

• Review and analyze prospective issuers seeking to list on the Exchange markets, including equities, ETPs, and options, for compliance with Exchange corporate governance and financial listing requirements.
• Review and analyze periodic reports filed with the SEC (e.g., registration statements, proxy statements, audited financial statements, etc.), as well as documents and memos provided by prospective issuers, to ensure compliance with Exchange qualitative and quantitative initial listing standards.
• Prepare initial listing eligibility analyses of prospective equity issuers to senior management on a regular basis.
• Coordinate multiple aspects of the pre-listing application process by working with external and internal parties to ensure that eligible issuers are able to begin trading in accordance with their respective listing timelines.
• Support the team in conducting initial and continued listing reviews of ETPs and options.
• Triage various issues that may arise during overnight trading and engage with the NYSE Regulation teams to investigate and respond as needed.
• Review and analyze global news to identify material news that may impact trading in a security.
• Review and analyze press releases for materiality that may necessitate a trading halt.
• Confirm that corporate actions and halts were implemented at the start of the overnight trading session.
• Identify instances where foreign markets halt trading in securities that also trade on a NYSE Exchange.
• Investigate unusual trading activity and rumors pertaining to issuers.
• Assess trading activity based upon a variety of alerts generated by surveillance systems.
• Review and escalate requests for trade nullifications due to potentially erroneous executions.
• Assess system outages as potential events according to Reg SCI and work with other stakeholders to coordinate next steps.
• Maintain organized and complete files for SEC and internal audit examinations.
• Work on special projects and ad hoc tasks, as assigned.

Knowledge and Experience

• Bachelor’s degree required.
• Degree in accounting, finance, economics, business, or similar fields preferred.
• Minimum two years of work experience preferred.
• Accounting/finance and/or regulatory experience preferred.
• General knowledge of accounting principles and financial statement analysis, financial markets, and the securities industry preferred. 
• Excellent research, analytical and problem-solving skills.
• Self-starter with strong initiative and attention to detail.
• Excellent interpersonal and communication skills. 
• Ability to work independently and function effectively in a high-volume, deadline-oriented, multi-task environment. 
• Ability to interface effectively and professionally with Exchange senior management and representatives of listed issuers.
• Proficiency with Microsoft Excel is required. Experience with trading data software (Bloomberg, FactSet, S&P Capital IQ) is a plus.

 

Schedule

~2:30 pm to 11:30 pm PT (following initial training period in which hours will be ~7:30 am to 4:30 pm PT)

 

California Base Salary Range

The expected base salary for this role, if located in California, is between $92,000 - 108,000 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.