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).
- 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 within tight deadlines.
- Ability to work independently while contributing to a collegial, fast-paced, collaborative environment.
