ICE · 5 days ago

Surveillance Analyst

New York, NY

Full-time

Hybrid

Mid Level

$82K/yr - $113K/yr

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Responsibilities

Conduct regular surveillance reviews to ensure that the NYSE exchanges’ trading systems are designed and operating in a manner that is consistent with applicable statutes and rules.

Investigate surveillance alerts that identify potential violations of statutes and rules, communicate with exchange employees to learn relevant facts, and ensure that any identified issues are appropriately addressed or escalated.

Assess the impact of new regulatory requirements on applicable NYSE equities and options exchanges, and work with Regulatory Technology and Quality Assurance teams to ensure that those requirements are addressed by NYSE Regulation’s surveillance system.

Review exchange system change specifications to identify any impact they may have on NYSE Regulation’s surveillance program. Recommend new surveillances and enhancements to existing surveillances to ensure that systems are designed and operating in a manner that is consistent with applicable statutes and rules.

Create business requirement documents describing the logic of surveillances that will be implemented to monitor NYSE exchanges’ compliance with applicable statutes and rules.

Review functional requirement specifications provided by Regulatory Technology to ensure that they align with business requirement documents.

Stay current on internal and external regulatory developments and work with team members to assess their potential impact on NYSE equities and options exchanges.

Qualification

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US equitiesOptions marketRegulation knowledgeTrading technologySecurities regulationsRegulation NMSOptions Linkage PlanRegulation SCIRegulation SHOQuantitative abilitiesData analysisExchange rulesFederal securities lawsSQLData queryingLarge data setsSurveillanceInvestigative findings presentationTask managementTight deadlines managementAnalyticalCommunicationPrioritizationTeamwork

Required

Bachelor’s degree with strong academic record

Strong understanding of US equities and options market structure, regulation, and related trading technology

Understanding of securities regulations and requirements such as Regulation NMS, the Options Linkage Plan, Regulation SCI and Regulation SHO

Strong analytical and quantitative abilities

Ability to research and analyze complex information and trading data to identify potential violations of exchange rules and the federal securities laws and recommend thoughtful responses to findings

Proficient in writing and executing SQL queries against large data sets

Excellent communication skills

Ability to present surveillance and investigative findings clearly and concisely to management and other regulatory stakeholders

Ability to work on and prioritize multiple tasks with tight deadlines

Ability to work in a fast-paced, team-oriented environment with minimal supervision