Manager,Enforcement Counsel

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Enforcement Counsel to join the Enforcement team within NYSE Regulation. Our mission is to protect investors and the integrity of the markets by investigating potential misconduct and enforcing the rules of the NYSE equities and options exchanges as well as the federal securities laws. NYSE Regulation's Enforcement team focuses on the regulation of exchange member firms and their associated persons. We are looking for an attorney with significant investigations and enforcement experience and knowledge of trading and markets to join the team.

Responsibilities

• Responsible for investigating potential violations of exchange rules and federal securities laws in connection with trading on the NYSE equities and options exchanges, and taking appropriate enforcement action when warranted.
• Manage own docket of cases, and develop and execute investigative plan for matters, including all documentary and testimonial fact-finding. Consult with NYSE Regulation's Head of Enforcement regarding the same.
• Recommend appropriate outcomes and actions, including well-reasoned analysis of evidence, applicable rules, and precedent, to support recommended sanctions and case resolution.
• Develop and implement settlement strategy, conduct settlement negotiations with opposing counsel, member firms and associated persons, and draft settlement documents.
• Collaborate closely with other members of NYSE Regulation Enforcement and with NYSE Regulation Surveillance & Investigations teams to plan and conduct investigations and to ensure a consistent and effective approach to deterring market misconduct.
• Collaborate effectively with other self-regulatory organizations such as FINRA, and with the U.S. Securities & Exchange Commission, on enforcement matters as appropriate.
• Contribute to educational efforts concerning NYSE rules, including drafting regulatory guidance.
• Monitor developments and trends associated with market structure and trading on the NYSE exchanges and potential misconduct related thereto.

Knowledge and Experience

• 5+ years working as a securities enforcement and/or litigation attorney with experience on regulatory and investigations matters.
• Knowledge of securities regulation and financial markets, including the federal securities laws and relevant rules pertaining to equities and options markets.
• Demonstrated ability to work independently, take initiative, and manage a dynamic docket of investigative matters from beginning to end.
• Excellent communication skills and academic credentials, including a J.D. from an accredited law school and admission to (or ability to obtain admission to) the New York bar.

Schedule

This role offers work from home flexibility of one day per week.