Regulatory Attorney, NYSE Regulation

Job Purpose The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Regulatory Attorney to join NYSE Regulation. Among other things, NYSE Regulation is responsible for monitoring activities on the NYSE’s equities and options markets and for addressing broker-dealer non-compliance with the NYSE exchanges’ rules and applicable federal securities laws. NYSE Regulation executes its mandate independently. The Regulatory Attorney will have varied responsibilities, including but not limited to supporting the NYSE Regulation Surveillance and Investigations team and for oversight of certain regulatory functions performed by FINRA on behalf of the NYSE family of self-regulatory organizations...