Initial Listings Analyst

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst to support the initial listings group within NYSE Regulation. The Analyst will be a key member of the team responsible for evaluating whether companies seeking to list on the NYSE or NYSE American satisfy the Exchanges initial listing requirements. The Analyst will also assist with analyses of Exchange Traded Funds and Structured Products (collectively, “ETPs�) seeking to list and listed on NYSE Arca.

Responsibilities

• Review and analyze applicant issuers seeking to list on the NYSE and NYSE American markets for compliance with corporate governance and financial listing requirements.
• Review and analyze periodic reports filed with the SEC (., registration statements, proxy statements, audited financial statements), as well as documents and memos provided by prospective issuers, to evaluate compliance with NYSE and NYSE American qualitative and quantitative initial listing standards.
• Prepare and present initial listing eligibility analyses of prospective issuers to senior management on a weekly basis.
• Coordinate multiple aspects of the pre-listing application process by working with both external and internal stakeholders.
• Process all aspects of applications for ETPs listing on NYSE Arca, including providing notice of new ETPs to issuers and other constituents.
• Review and analyze ETPs for continued listing compliance.
• Assist in the annual ETP compliance reviews, including analysis of ETP portfolios, underlying indices, and disclosures for continued listing.
• Review and analyze alerts from surveillances.
• Maintain organized and complete files for SEC and internal audit inspections.
• Work within a dynamic and cohesive team in NYSE Regulations Issuer Regulation group.
• Work on special projects and ad hoc tasks, as assigned.

Knowledge and Experience

• College degree or equivalent work experience required
• 1-2 years of prior work experience preferred
• Working knowledge of accounting principles/financial statement analysis, financial markets, and the securities industry in general
• Strong analytical and problem-solving skills
• Self-starter with strong initiative
• Proficiency with Microsoft Excel/Word and databases
• Excellent oral/written communication and follow up skills
• Attention to detail
• Ability to work independently and function effectively in a high-volume, deadline-oriented, multi-task environment
• Ability to effectively manage multiple listing applications concurrently under tight deadlines
• Ability to work cross functionally within ICE
• Ability to interface effectively with Exchange senior management and representatives of listed issuers

Schedule

This role offers work from home flexibility of up to 2 days per week.