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).
