Responsibilities
- Provide guidance and interpretation of continued listing standards, policies and procedures including financial, shareholder approval requirements and governance, to all constituents.
- Perform governance reviews on NYSE and NYSE American issuers to ascertain compliance with NYSE and NYSE American qualitative continued listing standards and meet defined monthly targets.
- Review and analyze a high volume of annual and interim affirmations for board of director and audit committee changes for compliance.
- Assist listed issuers with questions and respond to queries in a timely manner.
- Review proxy statements for disclosures in accordance with NYSE and NYSE American rules.
- Run past due reports for affirmations and contact issuers regarding follow-up.
- Assist with maintenance of policies and procedure manual for governance.
- Track newly listed issuers for compliance with transition period milestones.
- Respond to various interpretative questions regarding NYSE Listed Company Manual and NYSE American Company Guide rules and keep track of precedent and decisions made.
- Review and analyze transactions for compliance with shareholder approval rules and process supplemental listing applications.
- Review and analyze periodic reports filed with the Securities and Exchange Commission and other documents to ascertain compliance with NYSE and NYSE American quantitative and qualitative continued listing standards.
- Manage non-compliant issuers as needed: notify issuer senior management; evaluate proposed plans to regain compliance; prepare and present listing recommendations to NYSE Regulation senior management; initiate delistings for cause; coordinate delistings with corporate communications, securities operations, market watch and client service.
Knowledge and Experience
- Undergraduate degree in business, finance or accounting or equivalent experience.
- 1-2 years of experience, with any business or financial services industry environment preferred.
- Working knowledge of accounting/financial statement analysis, general financial markets, and/or the securities industry.
- Ability to work independently and function effectively in a high-volume, rapid-pace, deadline-oriented, multi-task environment.
- Ability to review and process large amounts of information in a short timeframe.
- Excellent analytical, critical thinking and follow-up skills; attention to detail.
- Excellent oral and written communication skills.
- Ability to interface effectively with senior management of the NYSE and representatives of listed issuers.
- Proficient with Microsoft Word/Excel and databases.
