Senior Enforcement Counsel - Securities Regulation

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

Benefits offered by this job

Healthcare coverage

401(k) plan

Life insurance

Time off

Paid leave for qualifying situations

Job summary

Intercontinental Exchange, Inc. seeks an Enforcement Counsel for NYSE Regulation to lead investigations into complex trading activity, market conduct, and supervisory issues.

You will independently develop strategies, assess evidence, and pursue disciplinary actions against broker-dealer members and associated persons, collaborating with SEC, FINRA, and other regulators. You will contribute to regulatory guidance, rule development, and strategic regulatory initiatives while applying strong

Qualifications

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

Responsibilities

• Lead investigations involving complex trading activity, market conduct, and supervisory issues.
• Develop and execute investigative strategies, evaluate evidence, and pursue disciplinary action.
• Collaborate with NYSE Regulation teams and external regulators (SEC, FINRA, others).
• Contribute to regulatory guidance, rule development, and strategic regulatory initiatives.
• Navigate a fast-paced regulatory landscape with sound judgment.

Skills

Securities enforcement

Investigations

Regulatory compliance

Analytical writing

Advocacy

Education

J.D. degree

Job description

Intercontinental Exchange, Inc. seeks an Enforcement Counsel for NYSE Regulation to lead investigations into complex trading activity, market conduct, and supervisory issues.

You will independently develop strategies, assess evidence, and pursue disciplinary actions against broker-dealer members and associated persons, collaborating with SEC, FINRA, and other regulators. You will contribute to regulatory guidance, rule development, and strategic regulatory initiatives while applying strong