Regulatory Attorney, NYSE Regulation

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Regulatory Attorney to join NYSE Regulation. Among other things, NYSE Regulation is responsible for monitoring activities on the NYSE’s equities and options markets and for addressing broker-dealer non-compliance with the NYSE exchanges’ rules and applicable federal securities laws. NYSE Regulation executes its mandate independently. The Regulatory Attorney will have varied responsibilities, including but not limited to supporting the NYSE Regulation Surveillance and Investigations team and for oversight of certain regulatory functions performed by FINRA on behalf of the NYSE family of self-regulatory organizations (“SRO”). 

Responsibilities

• Manage an ongoing caseload stemming from FINRA’s reviews and examinations of NYSE member firms, where violations of NYSE rules or federal securities laws have been identified.
• Participate in meetings with FINRA to address and identify issues of concern, track the timeliness of various deliverables, and identify trends relating to examinations of member firms.
• Provide guidance in connection with investigations arising from surveillance conducted by NYSE Regulation, as well as overseeing investigations arising from surveillance conducted by FINRA involving cross-market activity.
• Review and analyze examination and investigation reports, firm responses, recommendation summaries, precedent, prior disciplinary histories, and other relevant information.
• Prepare and present recommendations to NYSE Regulation’s Disciplinary Action Committee.
• Coordinate with internal stakeholders, including NYSE Regulation Surveillance and Investigations, NYSE Regulation Enforcement, NYSE Legal, Information Technology, Client Relationship Services, and other NYSE teams on matters related to examinations, investigations, new member applications, rule developments, and referrals, among other things.
• Conduct legal and other research into matters of regulatory policy as necessary to prepare Regulatory Memos that provide guidance to market participants and oversee FINRA regarding the interpretation and application of the NYSE markets’ rules.
• Draft and/or review new SEC rule proposals and SEC rule filings; gather and incorporate views of NYSE Regulation senior staff.
• Identify and develop solutions and proposals for changes to existing rules, including rules and guidance needed to address the evolving nature of trading within the securities markets.
• Identify and analyze regulatory issues and changes or SEC, industry and other SRO initiatives, that may impact the NYSE SROs.
• Develop and maintain cooperative working relationships with other regulators, including the SEC, FINRA, and other exchange SROs.
• Lead and participate in other special projects and initiatives with NYSE Regulation staff and business stakeholders as needed.

Knowledge and Experience

• A Juris Doctor and appropriately licensed to practice law in applicable jurisdictions based on the relevant licensing requirements.
• 7+ years’ legal experience, with advanced knowledge of the laws, rules and regulations governing broker-dealer regulatory matters and/or the securities industry.
• Experience working with the SEC, FINRA and other SROs preferred.
• Knowledge of securities trading and market structure.
• Excellent oral and written communication, analytical and interpersonal skills.
• Strong organizational and time management skills; able to perform or manage multiple projects simultaneously.

New York Base Salary Range 

The expected base salary for this role, if located in New York, is between $175,000 – $225,000 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.