Senior Analyst, Surveillance and Investigations

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 Senior 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 Senior Surveillance Analyst will also 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.
• Working 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 those 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

• Possess strong analytical skills, an understanding of equities and/or options exchanges and trading and the ability to work with and synthesize large data files.
• Bachelor's degree or equivalent work experience.
• Sound judgment.
• Experience relevant to securities markets or compliance (preferred).
• 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, team-oriented environment.
• Solid data analytics capabilities.
• Ability to write and execute SQL queries against large data (preferred).