Director, NYSE Regulation Initial Listings

Intercontinental Exchange

Job Description

Job Purpose

The New York Stock Exchange (an Intercontinental Exchange company) is seeking a Director, NYSE Regulation, Initial Listings to join the NYSE Regulation team.  The primary responsibility of the individual in this position will be to manage the team that is responsible for reviewing and approving all initial listing applications from companies that are seeking to list and admit their securities to trade on the NYSE and NYSE American equity markets.


  • Manage team responsible for reviewing and approving all initial listing applications for the NYSE and NYSE American equity markets

  • Serve as the point of initial contact for NYSE Regulation with respect to listing inquiries

  • Develop workflows to manage and enhance the NYSE and NYSE American listing process

  • Coordinate with issuers and internal business teams to facilitate listing reviews and guide issuers through the listing process

  • Engage with issuers and their service providers (including external counsel and accountants) to understand and analyze complex business transactions and governance structures

  • Ensure accurate application of NYSE listing rules

  • Maintain thorough records of NYSE and NYSE American listing reviews in preparation for examination by external regulators

  • Develop and communicate non-technical business requirements

  • Assist in supporting existing and new technology initiatives to enhance the listing process

  • Effectively communicate listing trends in support of NYSE’s regulatory mission

Knowledge and Experience

  • Bachelor’s degree required, MBA with concentration in finance preferred

  • 8 or more years of management experience in a regulatory environment in the financial services industry

  • Strong knowledge of global financial markets including complex transaction structures, equities and fixed income instruments and NYSE listing rules

  • Strong delivery focus, particularly in complex, fast paced and demanding environments

  • Must be a detail-oriented self-starter who excels at taking initiative and following through

  • Ability to interact effectively with external and internal constituents

  • Ability to work well in a team driven structure

  • Must also be comfortable working in a deadline driven environment

  • Experience managing multiple activities and basic project management

  • Excellent communications skills

Intercontinental Exchange, Inc. is an Equal Opportunity and Affirmative Action Employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin or ancestry, age, disability or veteran status, or other protected status.

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