Manager, Enforcement Counsel, NYSE Regulation
Core
Lead investigations into complex trading activity, market conduct, and supervisory issues; pursue disciplinary action against broker-dealer firms; contribute to regulatory guidance and rule development.
Role type
Senior IC enforcement attorney (securities regulation)
Builds
Disciplinary actions, regulatory guidance, rule development
Domain
Securities regulation, U.S. financial markets
Deliverable
client delivery
Required skills
Securities enforcement, investigations, securities trading knowledge, market structure, federal securities laws, complex matter management, analytical skills, writing, advocacy
Preferred skills
Broker-dealer regulatory experience, SEC/FINRA interaction
Technologies
None stated
Responsibilities
Lead investigations involving complex trading activity and market conduct; evaluate evidence and assess potential violations; pursue disciplinary action against member firms; collaborate with internal teams and external regulators (SEC, FINRA); contribute to regulatory guidance and rule development.
Seniority
Senior, hands-on IC