Analyst, Initial Listings and Extended Hours Trading, NYSE Regulation

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst, Exchange-Traded Products and Extended Hours Trading, to join the NYSE Regulation team.  The analyst will have two primary responsibilities.  First, the analyst will perform initial listing reviews and continued listing supervision of exchange-traded products (“ETPs”) and options.  Second, the analyst will monitor trading activity, potential clearly erroneous executions, issuer and market news for corporate actions and trading halts, and potential Reg SCI issues in the NYSE overnight trading session (or, extended hours trading).  Further, the analyst will be responsible for escalating identified issues to NYSE Regulation senior management.  The analyst will be part of a dynamic and collaborative team.

Responsibilities

• Review and analyze ETPs and options for potential listing on the Exchange markets, assessing compliance with Exchange 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 provided by prospective issuers, to ensure compliance with Exchange initial listing standards and documentation requirements.
• Draft initial listing eligibility analyses of prospective issuers.
• 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.
• Conduct and oversee continued listing reviews of ETPs and options.
• Prepare memoranda and supporting documentation evidencing continued listing reviews of ETPs and options.
• Triage various issues that may arise during overnight trading and engage with the NYSE Regulation teams to investigate and respond as needed.
• Review and analyze global news to identify material news that may impact trading in a security.
• Review and analyze press releases for materiality that may necessitate a trading halt.
• Confirm that corporate actions and halts were implemented at the start of the overnight trading session.
• Identify instances where foreign markets halt trading in securities that also trade on a NYSE Exchange.
• Investigate unusual trading activity and rumors pertaining to issuers.
• Assess trading activity based upon a variety of alerts generated by surveillance systems.
• Review and escalate requests for trade nullifications due to potentially erroneous executions.
• Assess system outages as potential events according to Reg SCI and work with other stakeholders to coordinate next steps. 
• Maintain organized and complete files for SEC and internal audit examinations.
• Work on special projects and ad hoc tasks, as assigned.
  
  

Knowledge and Experience

• Bachelor’s degree required.
• Degree in accounting, finance, economics, business, or similar fields preferred.
• Minimum two years of work experience preferred.
• Accounting/finance and/or regulatory experience preferred.
• General knowledge of accounting principles and financial statement analysis, financial markets, and the securities industry preferred. 
• Excellent research, analytical and problem-solving skills.
• Self-starter with strong initiative and attention to detail.
• Excellent interpersonal and communication skills. 
• Ability to work independently and function effectively in a high-volume, deadline-oriented, multi-task environment. 
• Ability to interface effectively and professionally with Exchange senior management and representatives of listed issuers.
• Proficiency with Microsoft Excel is required. Experience with trading data software (Bloomberg, FactSet, S&P Capital IQ) is a plus.

Schedule

8 pm to 4 am ET / 7 pm to 3 am CT / 5 pm to 1 am PT (hours during onboarding may differ)