Regulatory Attorney

Regulatory Attorney

  • Full Time
  • New York

Website ICE

ICE is a global data and technology company that designs, builds

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Regulatory Attorney to join NYSE Regulation. The Regulatory Attorney will have responsibility for assisting with case investigations and the oversight of certain regulatory functions performed by FINRA on behalf of the New York Stock Exchange family of SRO’s.


Duties and Responsibilities

Manage an ongoing caseload of referrals stemming from FINRA’s reviews and examinations of NYSE member firms, where violations of NYSE rules or the federal securities laws have been identified.
Assist with investigations arising from surveillance conducted by NYSE Regulation, as well as overseeing investigations arising from surveillance conducted by FINRA involving cross-market activity.
Review and analyze examination referrals, including examination reports, firm responses, recommendation summaries, precedent history, prior disciplinary histories and other relevant information.
Summarize and prepare recommendations to NYSE Regulation’s Disciplinary Action Committee for resolution.
Coordinate with internal stakeholders, including NYSE Regulation Enforcement, NYSE Regulation Surveillance and Investigations, NYSE Legal, Information Technology, Client Relationship Services and other business units on matters related to examinations, investigations, rule developments and referrals.
Provide guidance to FINRA and member firms regarding the interpretation and application of the NYSE SROs’ rules.
Participate in meetings with FINRA management to address and identify issues of concern, track the timeliness of various deliverables, and identify trends relating to examinations of member firms.
Manage periodic updates to various contractual agreements.
Lead and participate in special projects and initiatives with NYSE Regulation staff and business stakeholders.
Keep abreast of regulatory issues and changes impacting our market centers.

Knowledge and Experience

Juris doctor degree.
Four or more years of legal experience, preferably as a law firm associate focusing on matters related to financial services, broker-dealer regulatory matters, and/or securities litigation.
Experience working with the SEC, FINRA and other SRO’s, preferred.
Knowledge of securities trading and market structure.
Excellent communication skills.
Excellent organizational and time management skills with appropriate attention to detail.
Ability to perform multiple projects simultaneously.
Ability to adapt in a high-growth, rapidly evolving industry.

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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