Manager, Enforcement Counsel

Intercontinental Exchange Holdings, Inc.•New York, NY

13d•$240,000 - $260,000•Onsite

About The Position

The New York Stock Exchange (NYSE) is seeking an experienced attorney to join NYSE Regulation’s Enforcement team. NYSE Regulation plays a critical role in protecting investors and maintaining the integrity of the U.S. securities markets. Through its regulatory and enforcement functions, NYSE Regulation oversees trading on the NYSE equities and options exchanges, and investigates and prosecutes potential violations of exchange rules and applicable federal securities laws.

Requirements

J.D. from an accredited law school and admission to, or ability to obtain admission to, the New York bar.
7+ years of legal experience, with significant securities enforcement, investigations, or broker-dealer regulatory experience strongly preferred.
Strong knowledge of securities trading, market structure, and the federal securities laws.
Demonstrated ability to independently lead and manage complex investigative and enforcement matters from inception through resolution or hearing.
Excellent analytical, writing, advocacy, and interpersonal skills.

Nice To Haves

Significant securities enforcement, investigations, or broker-dealer regulatory experience

Responsibilities

Lead investigations involving complex trading activity, market conduct, and supervisory issues.
Exercise substantial independence in developing and executing investigative strategies, evaluating evidence, assessing potential violations, and pursuing appropriate disciplinary action against broker-dealer member firms and their associated persons.
Collaborate closely with colleagues across NYSE Regulation, including the Surveillance & Investigations team and other internal stakeholders, as well as with external regulators, such as the SEC, FINRA, and other exchange self-regulatory organizations.
Contribute to regulatory guidance, rule development, and strategic regulatory initiatives addressing emerging risks and evolving market practices.