Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Surveillance Analyst to support market integrity and investor protection by identifying, analyzing, and investigating potential rule and federal securities law violations. This role involves reviewing and investigating potential violations identified by surveillance systems and conducting equities- and options-related reviews to ensure proper functioning of trading systems.

Responsibilities

Conduct regular surveillance reviews to ensure NYSE exchanges’ trading systems are designed and operating consistently with applicable statutes and rules.
Investigate surveillance alerts, communicate with exchange employees, and ensure identified issues are addressed or escalated.
Assess the impact of new regulatory requirements on NYSE equities and options exchanges and collaborate with Regulatory Technology and Quality Assurance teams.
Review exchange system change specifications for impact on the surveillance program.
Recommend new surveillances and enhancements to existing ones.
Create business requirement documents detailing surveillance logic.
Review functional requirement specifications for alignment with business requirements.
Stay current on regulatory developments and assess their potential impact on NYSE exchanges.

Requirements

Bachelor’s degree with strong academic record.
Knowledge of US equities and options market structure, regulation, and related trading technology.
Understanding of securities regulations (Regulation NMS, Options Linkage Plan, Regulation SCI, Regulation SHO).
Strong analytical and quantitative abilities.
Ability to research and analyze complex information and trading data.
Proficiency in writing and executing SQL queries against large data sets.
Excellent communication skills.
Ability to present findings clearly and concisely to management and stakeholders.
Ability to prioritize multiple tasks with tight deadlines.
Ability to work in a fast-paced, team-oriented environment with minimal supervision.

Skills

Location

New York

Work Type

Full-time

Experience Level

Minimal supervision

Education Level

Bachelor's degree

Salary/Compensations

$88,000 - $105,000 USD

Benefits

Healthcare coverage (medical, dental and vision)
401(k) plan
Life insurance
Time off
Paid leave for qualifying circumstances

About the Company

Intercontinental Exchange, Inc. is an Equal Opportunity Employer.

Equal Opportunity

All qualified applicants will receive consideration for employment without regard to legally protected characteristics.