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Director, Options Regulation
Intercontinental Exchange
San Francisco, CA, United States
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JOB DESCRIPTION
As a senior member of the NYSE Regulation (“NYSER”) staff, the director will lead NYSER’s regulatory presence in San Francisco, supervising and overseeing the regulation of the Arca options trading floor. Managing a team of analysts and trading officials, the director will play a central role in a surveillance and investigations program that is focused on ensuring member compliance with rules governing trading on the NYSE’s two options markets. The director will play a significant role in supporting the integrity of the markets and protecting investors by identifying, investigating, and appropriately resolving potential violations of SEC and exchange rules. In addition, the director will offer support and guidance to members and to regulatory staff who monitor activity on the options markets and their trading floors.
Duties and Responsibilities
• Supervise staff, providing continuous training and guidance to direct reports, their staff, and others
• Supervise investigations of potential violations of SEC and exchange rules and, when appropriate, recommend disciplinary action to address identified violations
• Work with senior NYSE Regulation staff to develop enhancements to the surveillance and investigations program
• Work with external regulatory entities (e.g., SEC, FINRA, ORSA, ISG) to coordinate regulatory efforts where appropriate
• Work with developers, analysts, and investigators to improve surveillance output and develop new surveillances in response to market structure changes
• Facilitate collaboration between analysts and investigators and NYSER’s Enforcement staff
• Develop a comprehensive understanding of the rules governing options trading on the two NYSE options markets
• Update and improve regulatory policies and procedures
• Serve as the primary regulatory liaison for members on the Arca trading floor
• Discuss issues of regulatory concern with internal and external parties, including senior NYSER and business personnel, market participants, and regulators
Knowledge and Experience
• Bachelor’s degree required; relevant post-graduate degree (e.g., JD, MBA) preferred
• Experience related to options trading or options regulation at a member firm, the SEC, or another SRO is preferred
• Candidate must be comfortable in a trading floor environment and have the ability to make timely decisions in a fast-paced environment; experience with operation of options trading floors preferred
• Strong analytical, writing, and communications skills required
Core Competencies
Competencies are the skills and behaviors that are critical both to your personal performance and to ICE’s continued success. The core competencies apply to every member of staff working for ICE.
Teamwork
• Offers time and/or assistance to colleagues; is widely regarded and respected as someone to go to for help
• Fosters friendly and cooperative relationships with others; colleagues enjoy working with the employee
• Shares knowledge and mentors staff; works to develop others’ knowledge as well as own
• Gives and shares credit as appropriate
• Contributes to recruiting and training efforts of others, including candidate referrals, job interviews and mentoring
• Attends and participates in company and department level functions inside and outside of the office
Problem-Solving & Decision-Making
• Demonstrates an understanding of the urgent nature of our business and the need to proactively find and fix problems quickly and effectively takes ownership and follows through on decisions; doesn’t minimize or forget about problems
• Determines and fixes root causes rather than just treating symptoms
• Applies novel techniques to solve problems that are more ambiguous; challenges long-held beliefs when necessary
• Quickly and effectively identifies alternative solutions and the pros/cons of each; confirms that a proposed solution has no unintended consequences
• Takes steps to mitigate risk
• Consults with colleagues and recommends solutions based on the best interests of customers and shareholders, even when the opinion is unpopular
Communication
• Actively listens and speaks to, not over, others
• Uses clear and constructive language orally and in writing
• Communicates important developments to the relevant and appropriate audiences in a timely and consistent manner
• Asks follow-up questions to ensure all points are understood
• Takes time to objectively listen to all viewpoints before forming an opinion
• Builds consensus among differing views
Professionalism & Integrity
• Makes a positive impression; represents the company well on the phone and in person, including maintaining attire and appearance that is consistent with company image and appropriate for employee’s role
• Models a ‘can-do’ attitude and takes initiative as a self-starter; inspires and motivates others to do the same
• Embraces, rather than resists, additional responsibilities
• Refrains from office gossip; settles rather than creates conflict with and between others
• Exhibits desired work habits including regular office hours and extra hours when necessary while minimizing breaks and non-work related activities
• Adheres to all corporate policies; makes prudent use of company resources
FULL TIME / PART TIMEFull time
Intercontinental Exchange
ICE is an Equal Opportunity Employer. All qualified applicants will receive consideration without regard to race, color, religion, gender, sexual orientation, gender identity, national origin or ancestry, age, disability or veteran status, or other protected status.