NYSE Regulation Surveillance Analyst

Intercontinental Exchange, Inc. • New York, NY 10007

Posted 2 weeks ago

Job Description


As a member of the NYSE Regulation staff, the Surveillance Analyst will play an important role in supporting the integrity of the markets and protecting investors by 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 also conduct reviews to ensure that exchange surveillance systems function properly.

Duties and Responsibilities

* Review suspicious 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.

* Communicate with member firms concerning matters under investigation.

* Determine if matters warrant further investigation and escalation.

* Assist with the preparation of memoranda recommending dispositions of completed investigations.

* 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

Qualified candidates should possess strong analytical skills, the ability to work with and synthesize large data files, and an understanding of equities and options exchanges and trading. Other qualifications include:

* Bachelor's degree with strong academic record

* 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 written and verbal 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

Core Competencies

Competencies are the skills and behaviors that are critical both to your personal performance and to ICE's continued success. The core competencies apply to every member of staff working for ICE.


* Offers time and/or assistance to colleagues; is widely regarded and respected as someone to go to for help

* Fosters friendly and cooperative relationships with others; colleagues enjoy working with the

* employee

* Shares knowledge and mentors staff; works to develop others' knowledge as well as own

* Gives and shares credit as appropriate

* Contributes to recruiting and training efforts of others, including candidate referrals, job interviews and mentoring

* Attends and participates in company and department level functions inside and outside of the office

Problem-Solving & Decision-Making

* Demonstrates an understanding of the urgent nature of our business and the need to proactively find and fix problems quickly and effectively takes ownership and follows through on decisions; doesn't minimize or forget about problems

* Determines and fixes root causes rather than just treating symptoms

* Applies novel techniques to solve problems that are more ambiguous; challenges long-held beliefs when necessary

* Quickly and effectively identifies alternative solutions and the pros/cons of each; confirms that a proposed solution has no unintended consequences

* Takes steps to mitigate risk

* Consults with colleagues and recommends solutions based on the best interests of customers and shareholders, even when the opinion is unpopular


* Actively listens and speaks to, not over, others

* Uses clear and constructive language orally and in writing

* Communicates important developments to the relevant and appropriate audiences in a timely and consistent manner

* Asks follow-up questions to ensure all points are understood

* Takes time to objectively listen to all viewpoints before forming an opinion

* Builds consensus among differing views

Professionalism & Integrity

* Makes a positive impression; represents the company well on the phone and in person, including maintaining attire and appearance that is consistent with company image and appropriate for employee's role

* Models a 'can-do' attitude and takes initiative as a self-starter; inspires and motivates others to do the same

* Embraces, rather than resists, additional responsibilities

* Refrains from office gossip; settles rather than creates conflict with and between others

* Exhibits desired work habits including regular office hours and extra hours when necessary while minimizing breaks and non-work related activities

* Adheres to all corporate policies; makes prudent use of company resources


NY: New York (11 Wall Street)


Full time

Intercontinental ExchangeICE is an Equal Opportunity Employer. All qualified applicants will receive consideration 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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