What are the responsibilities and job description for the Surveillance Analyst position at Intercontinental Exchange Holdings, Inc.?
Overview
Job Purpose
The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Surveillance Analyst to join NYSE Regulation’s equities/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 also conduct reviews to ensure that exchange surveillance systems are up-to-date and functioning properly.
Responsibilities
- Assess order and trading activity based upon a variety of alerts generated by surveillance systems.
- Collaborate with colleagues and engage in factfinding 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 those requests.
- Investigate trading activity by querying, synthesizing, and analyzing large and complex data sets.
- Assist with the preparation of memoranda that recommend dispositions of completed. investigations; 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.
- Assist with the refinement of surveillance systems to ensure that alert output is meaningful and valid; recommend enhancements to those systems.
- Investigate regulatory issues arising from NYSE business and operations units.
- Identify and mitigate situations that may adversely impact the integrity of NYSE markets.
- Pursue other projects, as assigned.
Knowledge and Experience
Qualified candidates should possess strong analytical skills, the ability to work with and synthesize large data files, and an understanding of equities and/or options exchanges and trading. Other qualifications include:
- Bachelor’s degree or equivalent work experience.
- Experience relevant to securities markets or compliance (preferred).
- Experience with Java-based applications (preferred).
- Solid data analytics capabilities.
- Ability to write and execute SQL queries against large data sets (preferred).
- Sound judgment.
- Excellent written and verbal communication skills.
- Ability to work on and prioritize multiple tasks with tight deadlines.
- Ability to work independently while contributing to a collegial, fast-paced, collaborative environment.
Schedule
This role offers work-from-home flexibility of up to one day per week.
New York Base Salary Range
The expected base salary for this role if located in New York City is between 77,300 - 103,000 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.
Intercontinental Exchange, Inc. is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin or ancestry, age, disability or veteran status, or other protected status.
