Director, Surveillance - Intercontinental Exchange Holdings, Inc.
San Francisco, CA 94104
About the Job
Job Purpose
The New York Stock Exchange (an Intercontinental Exchange company) is hiring a Director to oversee NYSE Regulation’s operations in San Francisco and to take a significant leadership role in NYSE Regulation’s Surveillance & Investigations Group. Under the Director’s leadership and supervision, NYSE Regulation’s staff in San Francisco ensure the integrity of the NYSE’s options markets by efficiently, effectively, and fairly overseeing activity on the NYSE Arca Options trading floor and by using advanced surveillance technology to detect and address violations of NYSE Arca rules and federal securities laws. The Director will routinely interact with executives, market participants, and regulators. The position requires quick thinking, a regulatory mindset, sound judgment, thoughtful and conscientious management, nimble multi-tasking, and close collaboration with many units of the NYSE exchanges.
Responsibilities
- Supervising surveillance reviews and investigations of matters that involve potential violations of exchange rules and securities laws
- Overseeing the work of trading officials on the NYSE Arca Options trading floor
- Triaging and leading efforts to address regulatory issues on the NYSE Arca Options floor
- Supervising and mentoring NYSE Regulation staff in San Francisco
- Working with other staff to develop enhancements to NYSE Regulation’s surveillance and investigations program
- Overseeing the development of policies and procedures
- Coordinating with other regulators to facilitate investigative efforts
- Responding to inquiries from the SEC and other regulators related to inspections and market events
- Performing special projects as needed
Knowledge and Experience
Qualified candidates should possess strong trading and regulatory backgrounds and should demonstrate a strong understanding of the laws and rules that govern equities and options trading. Other qualifications include the following:
- 5+ years’ experience ensuring compliance with or investigating potential violations of the federal securities laws and self regulatory organization rules (experience working at the SEC, an SRO, or a member firm strongly preferred)
- Strong understanding of equities and options trading, including expertise with floor trading practices and technology
- Ability to foster and lead a skilled, conscientious, and collegial team
- Ability to communicate effectively
- Excellent writing skills
- Sound judgment
- Ability to tackle and prioritize multiple tasks with tight deadlines
- Ability to work in a fast-paced environment with minimal supervision
Schedule
This role offers work from home flexibility of one day per week.
California Base Salary Range
The expected base salary for this role if located in California is between 216,300 - 262,700 USD. 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.
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