Analyst, Regulation

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst to join the Market Watch and Proxy Compliance team within NYSE Regulation. The Analyst will be a key member of the team responsible for ensuring that issuers listed on NYSE, NYSE American, and NYSE Arca (the "Exchanges") understand and follow the Exchanges' timely alert policy. In addition, the Analyst will also actively monitor trading activity in the securities of NYSE-listed securities. Where appropriate, the Analyst will assist in make trading halt decisions on NYSE-listed securities. The Analyst will also be responsible for providing proxy rulings in advance of annual and special meetings of listed issuers.

Responsibilities

• Review and analyze press releases for materiality and ensure that news is released to investors and market participants in accordance with the Exchanges' timely alert policy.
• Implement temporary trading halts when material news is disseminated to investors and market participants during NYSE trading hours.
• Investigate and document unusual trading activity and rumors pertaining to NYSE issuers. This includes reviewing recent trading activity, contacting company representatives, and monitoring newswires.
• Proactively contact NYSE-listed issuers in advance of any scheduled annual or special meeting to confirm that record dates are reported in accordance with applicable Exchange rules.
• Evaluate definitive proxy material of listed issuers and determine whether NYSE member organizations can vote their customers' shares on the proposals on the meeting agenda in the absence of customer instructions.
• Coordinate with the NYSE Corporate Actions, Initial Listings and Continued Listings teams on issues that may have a material impact on trading in a security.
• Periodically assist the Corporate Actions team by researching and validating corporate action events information from various sources by establishing good working relationships with market participants, such as transfer agents, legal counsels, depositary banks, and major vendors, in order to facilitate seamless transactions.
• Update procedure manuals, as needed.
• Work with the development and technology teams on the testing and rollout of new applications.
• Perform special projects and ad hoc tasks, as assigned.
• Maintain organized and complete files for SEC and internal audit inspections.
• Assist with responding to audit and SEC examiner inquiries.
• Work within a dynamic and cohesive team within NYSE Regulation.

Knowledge and Experience

• Bachelor's degree or comparable work experience required
• Degree in accounting, business, finance, or economics is preferred
• Two or more years of financial industry work experience preferred
• General knowledge of the financial markets, the security industry, accounting and financial statements
• Ability to work independently and function effectively in a high-volume, rapid-paced, deadline-oriented, multi-task environment
• Self-starter with strong initiative
• Excellent analytical and problem-solving skills
• Excellent oral/written communication and follow-up skills
• Attention to detail
• Ability to work cross-functionally within ICE
• Ability to effectively interface with senior management of the Exchange, representatives of listed issuers, and other internal constituencies
• Familiar with Bloomberg and FactSet programs

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

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