Overview Job Purpose The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Regulatory Attorney to join NYSE Regulation. NYSE Regulation is responsible for monitoring activities on the NYSE’s equities and options markets and for addressing non-compliance with the NYSE exchanges’ rules and federal securities laws. 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 NYSE family of self-regulatory organizations (“SRO”). Responsibilities Managing 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. Assisting with investigations arising from surveillance conducted by NYSE Regulation, as well as overseeing investigations arising from surveillance conducted by FINRA involving cross-market activity. Reviewing and analyzing examination referrals, including examination reports, firm responses, recommendation summaries, precedent, prior disciplinary histories, and other relevant information. Summarizing and preparing recommendations to NYSE Regulation’s Disciplinary Action Committee for resolution. Coordinating 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. Providing guidance to FINRA and member firms regarding the interpretation and application of the NYSE SROs’ rules. Participating 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. Managing periodic updates to various contractual agreements. Leading and participating in special projects and initiatives with NYSE Regulation staff and business stakeholders. Keeping abreast of regulatory issues and changes impacting the NYSE SROs. Knowledge and Experience Juris doctor degree. Minimum of five years’ 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 SROs (strongly preferred). Knowledge of securities trading and market structure. Ability to communicate clearly and effectively. 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. Schedule This role offers work from home flexibility of 1 day per week. Base Salary Range for New York Candidates The expected base salary for this role is between $148,000 - 235,000. 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. 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 #LI-RS1 #LI-Hybrid