In-House

New York City, NY, United States

Regulatory Attorney

Attorney

Min 5 yrs required

Full-time

No

H1: Regulatory Attorney at New York Stock Exchange H2: Join NYSE Regulation as a Regulatory Attorney Overview: - The New York Stock Exchange (NYSE) is seeking a Regulatory Attorney to join NYSE Regulation. - NYSE Regulation is responsible for monitoring activities on the NYSE's equities and options markets and for addressing non-compliance with rules and federal securities laws. - The Regulatory Attorney will assist with case investigations and oversee certain regulatory functions performed by FINRA on behalf of the NYSE family of self-regulatory organizations (SROs). Responsibilities: - Manage a caseload of referrals from FINRA's reviews and examinations of NYSE member firms. - Assist with investigations arising from surveillance conducted by NYSE Regulation and oversee investigations from FINRA involving cross-market activity. - Review and analyze examination referrals, including reports and firm responses, and prepare recommendations for resolution. - Coordinate with internal stakeholders on matters related to examinations, investigations, rule developments, and referrals. - Provide guidance to FINRA and member firms on the interpretation and application of the NYSE SROs' rules. - Participate in meetings with FINRA management to address issues and identify trends. - Manage updates to contractual agreements. - Lead and participate in special projects and initiatives with NYSE Regulation staff and business stakeholders. - Stay informed on regulatory issues and changes impacting the NYSE SROs. Knowledge and Experience: - Juris doctor degree required. - Minimum of five years' legal experience, preferably in financial services, broker-dealer regulatory matters, or securities litigation. - Experience working with the SEC, FINRA, and other SROs strongly preferred. - Knowledge of securities trading and market structure. - Strong communication skills. - Excellent organizational and time management abilities. - Ability to handle multiple projects simultaneously. - Adaptability in a high-growth, rapidly evolving industry. Schedule: - This role offers 1 day per week of work from home flexibility. Salary Information: - The expected base salary for this role is between $148,000 - $235,000. - Base salary range does not include incentive compensation. - Compensation at ICE is based on individual skillset and experience. Company Information: - 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, age, disability, veteran status, or other protected status.

Interested candidates should submit their application through the company's website.

Qualification and Experience Juris Doctor degree

Legal

Hiring Coordinator
NYSE
11 Wall Street,
New York City, NY 10005