Manager, Enforcement Counsel, NYSE Regulation

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

Job Description

The New York Stock Exchange (NYSE) is seeking an experienced attorney to join NYSE Regulation’s Enforcement team. NYSE Regulation plays a critical role in protecting investors and maintaining the integrity of the U.S. securities markets. Through its regulatory and enforcement functions, NYSE Regulation oversees trading on the NYSE equities and options exchanges, and investigates and prosecutes potential violations of exchange rules and applicable federal securities laws.

Responsibilities

As Enforcement Counsel, you will lead investigations involving complex trading activity, market conduct, and supervisory issues. You will exercise substantial independence in developing and executing investigative strategies, evaluating evidence, assessing potential violations, and pursuing appropriate disciplinary action against broker-dealer member firms and their associated persons.

In this role, you will collaborate closely with colleagues across NYSE Regulation, including the Surveillance & Investigations team and other internal stakeholders, as well as with external regulators, such as the SEC, FINRA, and other exchange self-regulatory organizations. In addition to enforcement matters, you will contribute to regulatory guidance, rule development, and strategic regulatory initiatives addressing emerging risks and evolving market practices.

We are seeking a highly motivated attorney with strong investigative, analytical, and advocacy skills; sound judgment; and a sophisticated understanding of securities regulation, trading, and market structure. The ideal candidate will have a proven ability to manage complex matters, navigate nuanced legal and factual issues, and thrive in a fast-paced, rapidly evolving regulatory landscape.

Knowledge and Experience

• J.D. from an accredited law school and admission to, or ability to obtain admission to, the New York bar.
• 7+ years of legal experience, with significant securities enforcement, investigations, or broker-dealer regulatory experience strongly preferred.
• Strong knowledge of securities trading, market structure, and the federal securities laws.
• Demonstrated ability to independently lead and manage complex investigative and enforcement matters from inception through resolution or hearing.
• Excellent analytical, writing, advocacy, and interpersonal skills.

New York Base SalaryRange

The expected base salary for this role, if located in New York, is between $240,000 - $260,000 USD. The base salary range does not include Intercontinental Exchange’s incentive compensation. While we provide this range as general guidance, at ICE we compensate employees based on the skillset and experience of the individual.

Regular full-time ICE employees are eligible for a suite of competitive employee benefits, including healthcare coverage (medical, dental and vision), a 401(k) plan, life insurance, time off, and paid leave for qualifying circumstances.

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Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.