Analyst, Market Surveillance
$88,000–$105,000 year
On-siteNew York City, New York, United States or New York, United States
Job Summary
Conduct regular surveillance reviews to ensure NYSE exchanges' trading systems operate consistently with applicable statutes and rules. Investigate alerts identifying potential violations of exchange rules and federal securities laws by communicating with employees to gather facts and ensure issues are addressed or escalated. Assess impacts of new regulatory requirements on equities and options exchanges, creating business requirement documents and reviewing system specifications to align surveillance logic with compliance needs. Stay current on internal and external regulatory developments to evaluate their impact on exchange operations.
Required Qualifications
- Bachelor's degree with strong academic record
- Knowledge 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
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