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Job Purpose
The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Enforcement Counsel to join the Enforcement team within NYSE Regulation. The primary responsibility of this position will be to support the integrity of the markets by investigating and prosecuting potential violations of exchange rules and the federal securities laws by exchange members. We are looking for an attorney with significant regulatory/investigations experience and knowledge of trading and markets to join our team.
Responsibilities
- Responsible for investigating and prosecuting settled and litigated actions against exchange members for violations of exchange rules and applicable federal securities laws in connection with trading on the NYSE equities and options exchanges.
- Work closely with the NYSE Regulation Surveillance & Investigations team to investigate matters and to ensure a consistent and effective approach to deterring market misconduct.
- Coordinate with other financial regulators on cross-market enforcement matters as appropriate.
- Contribute to educational efforts concerning NYSE rules, including drafting regulatory guidance.
- Monitor developments and trends associated with market structure and trading on the NYSE exchanges and potential misconduct related thereto.
Knowledge and Experience
- JD and admission to (or ability to obtain admission to) the New York bar required.
- 4+ years of experience, working on regulatory/investigations matters (prosecutorial, defense side, or in-house).
- Strong knowledge of financial markets, including the federal securities laws and relevant rules.
- Ability to manage a dynamic docket of investigative matters from beginning to end.
- Detail-oriented self-starter who excels at taking initiative and following through.
- Ability to interact and communicate effectively and independently with external and internal constituents.
New York Base Salary Range
The expected base salary for this role if located in New York City is between 200,000 - 240,000 USD. The base salary range does not include Intercontinental Exchange's incentive compensation. While we provide this range as general guidance, at ICE we compensate employees based on the skillset and experience of the individual.
Intercontinental Exchange, Inc. is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin or ancestry, age, disability or veteran status, or other protected status.
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Intercontinental Exchange is an Equal Opportunity Employer and is committed to diversity in its hiring and business practices. All qualified candidates are encouraged to apply.