Analyst, Issuer Oversight

Overview

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst, Initial Listings, in the Issuer Regulation group of NYSE Regulation. 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. 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 and present initial listing eligibility analyses of prospective equity issuers to senior management on a weekly 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.
• Assist Exchange Billing team with client invoicing by working with equity issuers to obtain and verify final listing details.
• Maintain organized and complete files for SEC and internal audit examinations.
• Work on special projects and ad hoc tasks, as assigned.

Knowledge and Experience

New York Base Salary Range

The expected base salary for this role, if located in New York, is between $89,000 - 99,000 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.