Lead Securities Enforcement Counsel

Intercontinental Exchange Holdings; New York (NY); On-site; USD 240,000 - 260,000; Full time

Job summary

The New York Stock Exchange (NYSE) is seeking an experienced Enforcement Counsel to join NYSE Regulation’s Enforcement team in New York. The role leads investigations involving trading activity, market conduct, and supervisory issues, with independence to develop strategies and pursue disciplinary action against broker-dealer firms and persons.

The successful candidate will work with ICE regulators such as SEC/FINRA, contribute to rulemaking and regulatory initiatives, and bring strong

Qualifications

• J.D. from an accredited law school and admission to the New York bar.
• 7+ years of securities enforcement or broker-dealer regulatory experience.
• Strong knowledge of securities trading and federal securities laws.
• Ability to independently lead complex investigations from inception through resolution.
• Excellent analytical and advocacy skills.

Responsibilities

• Lead investigations involving complex trading activity, market conduct, and supervisory issues.
• Collaborate with NYSE Regulation teams and external regulators (SEC, FINRA) on enforcement matters.
• Contribute to regulatory guidance, rule development, and strategic initiatives.
• Manage matters with sound judgment in a fast-paced regulatory landscape.

Skills

Securities enforcement

Investigations

Regulatory knowledge

Legal writing

Education

J.D. degree

Job description

The New York Stock Exchange (NYSE) is seeking an experienced Enforcement Counsel to join NYSE Regulation’s Enforcement team in New York. The role leads investigations involving trading activity, market conduct, and supervisory issues, with independence to develop strategies and pursue disciplinary action against broker-dealer firms and persons.

The successful candidate will work with ICE regulators such as SEC/FINRA, contribute to rulemaking and regulatory initiatives, and bring strong