Job Purpose
The New York Stock Exchange (an Intercontinental Exchange company) is seeking an Analyst, Initial Listings, in the Issuer Regulation group of NYSE Regulation. The analyst will review and analyze prospective issuers seeking to list on the NYSE, NYSE American, NYSE Arca, and NYSE Texas (“Exchange”) markets for compliance with Exchange corporate governance and financial listing requirements and perform continued listing supervision of listed exchange-traded products (ETPs) and options. The analyst will be part of a dynamic and collaborative team.
Responsibilities
- Review and analyze prospective issuers seeking to list on the Exchange markets, including equities, ETPs, and options, for compliance with Exchange corporate governance and financial listing requirements.
- Review and analyze periodic reports filed with the SEC (e.g., registration statements, proxy statements, audited financial statements, etc.), as well as documents and memos provided by prospective issuers, to ensure compliance with Exchange qualitative and quantitative initial listing standards.
- Prepare and present initial listing eligibility analyses of prospective equity issuers to senior management on a weekly basis.
- Coordinate multiple aspects of the pre-listing application process by working with external and internal parties to ensure that eligible issuers are able to begin trading in accordance with their respective listing timelines.
- Support the team in conducting initial and continued listing reviews of ETPs and options.
- Assist Exchange Billing team with client invoicing by working with equity issuers to obtain and verify final listing details.
- Maintain organized and complete files for SEC and internal audit examinations.
- Work on special projects and ad hoc tasks, as assigned.
Knowledge and Experience
- Bachelor’s degree required.
- Degree in accounting, finance, economics, business, or similar fields preferred.
- One or more years of work experience preferred.
- Accounting/finance and/or regulatory experience preferred.
- General knowledge of accounting principles and financial statement analysis, financial markets, and the securities industry preferred.
- Excellent research, analytical and problem-solving skills.
- Self-starter with strong initiative and attention to detail.
- Excellent interpersonal and communication skills.
- Ability to work independently and function effectively in a high-volume, deadline-oriented, multi-task environment.
- Ability to interface effectively and professionally with Exchange senior management and representatives of listed issuers.
- Proficiency with Microsoft Excel is required. Experience with trading data software (Bloomberg, FactSet, S&P Capital IQ) is a plus.
