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ICE · 5 hours ago

Analyst, Issuer Regulation

New York, NY

Full-time

Onsite

Entry Level

$88K/yr - $99K/yr

1+ years exp

Intercontinental Exchange, Inc. is seeking an Analyst to join the Continued Listings team in Issuer Regulation of NYSE Regulation. The role involves serving as the primary regulatory contact for assigned NYSE and NYSE American issuers, providing guidance on continued listing standards, and managing compliance issues.

E-CommerceFashionJewelryMarketplace

Responsibilities

Provide guidance and interpretation of continued listing standards, policies and procedures including financial, shareholder approval requirements and corporate governance, to all constituents

Review and analyze transactions for compliance with the shareholder approval rules and process supplemental listing applications

Assist issuers with questions and respond to queries in a timely manner

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

Analyze material news and assist in determining whether a trading halt is appropriate

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 and the Listings Operations Committee; initiate delistings for cause; coordinate delistings with corporate communications, securities operations, market watch and client service

Maintain organized and complete documentation for SEC and internal audit inspection

Qualification

Financial statement analysisRegulatory complianceAccounting knowledgeAnalytical skillsCommunication skillsMicrosoft WordMicrosoft ExcelCritical thinkingAttention to detail