Senior Surveillance Analyst

Overview

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Senior Surveillance Analyst to join NYSE Regulation's options regulation team. The Surveillance Analyst will have responsibility for reviewing and investigating potential violations of the NYSE exchanges' rules and federal securities laws that are identified by NYSE Regulation's surveillance systems and through complaints, referrals, and other means. The Surveillance Analyst will conduct options-related reviews to ensure that exchange surveillance systems are up-to-date and function properly.

Responsibilities

• Assess order and trading activity based upon a variety of alerts generated by surveillance systems.
• Collaborate with colleagues, engage in fact finding to determine if matters warrant further investigation and escalation, document findings.
• Issue formal requests for information to members and analyze their responses; interact with member firms and their counsel concerning such requests.
• Assist with the preparation of memoranda that recommend dispositions of completed investigations and present those findings and recommendations to senior leadership during meetings of NYSE Regulation's Disciplinary Action Committee.
• Assist with the creation, development, and review of new surveillances and procedures.
• Investigate regulatory issues arising from NYSE business and operations units.
• Identify and mitigate situations that may adversely impact the integrity of NYSE markets.
• Assist with the refinement of surveillance systems to ensure that alert output is meaningful and valid; recommend enhancements to those systems.
• Investigate trading activity by querying, synthesizing, and analyzing large and complex data sets.
• Other projects, as assigned.

Knowledge and Experience

New York Base Salary Range

The expected base salary for this role, if located in New York, is between $93,000 - 130,000 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.