Overview:
Job Purpose
The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst to join the Continued Listings team in Issuer Regulation of NYSE Regulation. This individual will serve as primary regulatory contact for an assigned group of NYSE and NYSE American issuers and their representatives, including management and outside counsel, with a primary focus on governance and work within a dynamic and cohesive team in Issuer Regulation.
Responsibilities
- Provide guidance and interpretation of continued listing standards, policies and procedures including financial, shareholder approval requirements and governance, to all constituents.
- Perform governance reviews on NYSE and NYSE American issuers to ascertain compliance with NYSE and NYSE American qualitative continued listing standards and meet defined monthly targets.
- Review and analyze a high volume of annual and interim affirmations for board of director and audit committee changes for compliance.
- Assist listed issuers with questions and respond to queries in a timely manner.
- Review proxy statements for disclosures in accordance with NYSE and NYSE American rules.
- Run past due reports for affirmations and contact issuers regarding follow-up.
- Assist with maintenance of policies and procedure manual for governance.
- Track newly listed issuers for compliance with transition period milestones.
- Respond to various interpretative questions regarding NYSE Listed Company Manual and NYSE American Company Guide rules and keep track of precedent and decisions made.
- Review and analyze transactions for compliance with shareholder approval rules and process supplemental listing applications.
- Review and analyze periodic reports filed with the Securities and Exchange Commission and other documents to ascertain compliance with NYSE and NYSE American quantitative and qualitative continued listing standards.
- Manage non-compliant issuers as needed: notify issuer senior management; evaluate proposed plans to regain compliance; prepare and present listing recommendations to NYSE Regulation senior management; initiate delistings for cause; coordinate delistings with corporate communications, securities operations, market watch and client service.
Knowledge and Experience
- Undergraduate degree in business, finance or accounting or equivalent experience.
- 1-2 years of experience, with any business or financial services industry environment preferred.
- Working knowledge of accounting/financial statement analysis, general financial markets, and/or the securities industry
- Ability to work independently and function effectively in a high-volume, rapid-pace, deadline-oriented, multi-task environment.
- Ability to review and process large amounts of information in a short timeframe.
- Excellent analytical, critical thinking and follow-up skills; attention to detail.
- Excellent oral and written communication skills.
- Ability to interface effectively with senior management of the NYSE and representatives of listed issuers.
- Proficient with Microsoft Word/Excel and databases.
Schedule
This role offers work from home flexibility of one day per week.
New York Base Salary Range
The expected base salary for this role if located in New York City is between 72,100 - 92,700 USD. The base salary range does not include Intercontinental Exchanges 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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