Analyst, Issuer Regulation
Overview
Job Purpose
The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst to join the Continued Listings team in Issuer Regulation of NYSE Regulation. This individual will serve as primary regulatory contact for an assigned group of NYSE and NYSE American issuers and their representatives, including management, financial advisors, outside counsel and auditors and work within a dynamic and cohesive team in Issuer Regulation.
Responsibilities
• Provide guidance and interpretation of continued listing standards, policies and procedures including financial, shareholder approval requirements and corporate governance, to all constituents.
• Review and analyze transactions for compliance with the shareholder approval rules and process supplemental listing applications.
• Assist issuers with questions and respond to queries in a timely manner.
• 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.
• Analyze material news and assist in determining whether a trading halt is appropriate.
• 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 and the Listings Operations Committee; initiate delistings for cause; coordinate delistings with corporate communications, securities operations, market watch and client service.
• Maintain organized and complete documentation for SEC and internal audit inspection.
Knowledge and Experience
• Undergraduate degree in business, finance or accounting or equivalent experience.
• 1-2 years of experience in a 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 effectively interface with senior management of the NYSE and representatives of listed issuers.
• Proficient with Microsoft Word/Excel and databases.
New York Base Salary Range
The expected base salary for this role, if located in New York, is between $88,000 - 99,000 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. Regular full-time ICE employees are eligible for a suite of competitive employee benefits, including healthcare coverage (medical, dental and vision), a 401(k) plan, life insurance, time off, and paid leave for qualifying circumstances.
