Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Options Floor Surveillance Analyst to join NYSE Regulation’s options regulation team. The Floor Surveillance Analyst will be stationed on the NYSE American options floor at 11 Wall Street and will use the NYSE’s surveillance systems and other tools to review and investigate potential violations of the NYSE options exchange rules and federal securities laws. The Floor Surveillance Analyst will also surveil trading activity as it occurs on the trading floor to ensure members’ compliance with rules relating to open outcry trading. Additionally, the analyst will at times be assigned to perform the functions and duties of an Options Trading Official by, among other things, monitoring open outcry trading and releasing orders executed through that process.

Responsibilities

• Review options activity based upon a variety of alerts generated by surveillance systems.
• Research options transactions identified for further investigation, document findings and escalate as necessary.
• Conduct investigations of potential violations of NYSE options exchange rules and federal securities laws by members and prepare memoranda recommending dispositions of completed investigations. Present recommendations to NYSE Regulation’s Disciplinary Action Committee.
• Acting as a Trading Official, interact with members on the NYSE American options trading floor and monitor vocalizations and other open outcry trading activity in order to properly release orders executed on that floor.
• Provide guidance to the trading floor community as needed.
• Assist with the creation, development, and review of relevant procedures.
• Assist with the refinement of surveillance systems to ensure that alert output is meaningful and valid; recommend enhancements to those systems.
• Identify and mitigate situations that may adversely impact the integrity of NYSE markets.

Knowledge and Experience

Qualified candidates should possess strong analytical skills, the ability to work with and synthesize large data files, and an understanding of equities and/or options exchanges and trading. Other qualifications include:

• A bachelor's degree with a strong academic record, or comparable work experience
• 2+ years' experience
• Coursework or experience relevant to securities markets or compliance, preferred
• Solid data analytics capabilities
• Sound judgment
• Previous experience in a trading floor environment as a clerk, floor broker or market maker, preferred
• Ability to communicate effectively
• Ability to monitor vocalizations and other activity in a trading floor environment
• Ability to work on and prioritize multiple tasks with tight deadlines
• Ability to work independently in a fast-paced environment with minimal supervision