Investigations Director, NYSE Regulation

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking a senior investigator to serve as an expert member of NYSE Regulation. NYSE Regulation is responsible for monitoring activities on the NYSE's equities and options markets and enforces both the NYSE exchanges' and their broker-dealer members' compliance with NYSE exchange rules and applicable federal securities laws. NYSE Regulation also monitors and enforces listed companies' compliance with applicable listing standards of the NYSE exchanges. By performing these duties, NYSE Regulation supports the NYSE exchanges' efforts to promote just and equitable principles of trade, encourage free and open markets, and protect investors and the public interest.

The individual who fills this role will work closely with the other members of the NYSE Regulation Surveillance, Investigations, Enforcement, Data Science and Regulatory Technology teams. The individual also will work closely with other regulators, including with other exchange self-regulatory organizations and FINRA.

The primary responsibilities of the individual in this position will be to:

• Oversee and manage investigations into potential violations of the NYSE exchanges' rules and federal securities laws in coordination with NYSE Regulation's Surveillance and Enforcement teams, data scientists, and investigators; and
• Provide thought leadership on how to strategically enhance NYSE Regulation's data and regulatory technology program, including by leveraging various data sources and by helping to implement artificial intelligence and machine learning (AI/ML) across platforms.

Responsibilities

• Plan and conduct investigations of alleged violations of NYSE exchange rules and federal securities laws in collaboration with Surveillance analysts and Enforcement attorneys.
• Analyze trading data to identify, develop and investigate cases, and distill the analyses into easily understood visual representations for non-technical stakeholders.
• Conduct initial investigation and triage of complaints received from member firms, the investing public, and other market participants.
• Provide thought leadership on how to strategically enhance NYSE Regulation's data and AI/ML program, including use of trading and other data to enhance regulatory functions.
• Lead a team of data scientists and investigators conducting data analysis and implementing other innovative regulatory projects, including pattern development and user dashboards.
• Provide subject matter background and expertise on relevant securities trading topics in both the equities and options space and stay current on industry trends, regulatory changes, and best practices in financial investigations.
• Advise on topics for investigation, including in connection with written requests for information and on-the-record testimony.
• Collect, review, and analyze documents, electronic records, and other evidence, and analyze investigative files, trade data, surveillance alerts, and member firm documents and communications.
• Prepare detailed investigative reports and summaries for senior management and assist with the preparation of memoranda that recommend dispositions of completed investigations.
• Present findings and recommendations in meetings and formal hearings as required.
• Collaborate with other subject-matter experts to define requirements and specifications for new surveillance patterns and enhancements to existing surveillances.
• Perform analyses on vast quantities of data to identify trends in market activity that implicate the Surveillance and Enforcement programs.
• Facilitate communications between teams with differing levels of expertise on data and technology issues.
• Work with technology teams to identify required data sources and tools to load/incorporate data into NYSE Regulation systems and normalize and aggregate data sets when necessary.
• Digest and analyze digital asset data (trading and otherwise) and blockchain data.
• Lead and collaborate with others on ad hoc and special projects.

Knowledge and Experience

• Bachelor's degree in finance, data analytics, financial engineering, statistics, accounting, or a related field (required). Advanced degree or professional certification (e.g., JD, CFE, CPA, CAMS) preferred.
• Several years of investigative experience in financial services (at a financial institution or otherwise), law enforcement, or regulatory compliance, including leading and managing multiple complex investigations.
• Knowledge of financial and trading markets, including equity and options trading.
• Proficiency in Python, SQL, data-structured language, and/or other programming languages is preferred.
• Excellent verbal and written communication skills, including the ability to effectively communicate about complex data and technology issues to colleagues with a variety of skillsets and backgrounds.
• Strong knowledge of federal securities laws, national securities exchange rules, FINRA rules, and financial industry operations.
• Excellent analytical, organizational, and problem-solving skills.
• Ability to work independently and as part of a collaborative team. Strong leadership skills, with management experience highly preferred.
• Ability to manage multiple workstreams simultaneously and complete projects expeditiously.
• Vision for how to incorporate data and technology into a regulatory program.