Manager, Enforcement Counsel

Responsibilities

As Enforcement Counsel, you will lead investigations involving complex trading activity, market conduct, and supervisory issues. You will exercise substantial independence in developing and executing investigative strategies, evaluating evidence, assessing potential violations, and pursuing appropriate disciplinary action against broker-dealer member firms and their associated persons.

In this role, you will collaborate closely with colleagues across NYSE Regulation, including the Surveillance & Investigations team and other internal stakeholders, as well as with external regulators, such as the SEC, FINRA, and other exchange self-regulatory organizations. In addition to enforcement matters, you will contribute to regulatory guidance, rule development, and strategic regulatory initiatives addressing emerging risks and evolving market practices.

We are seeking a highly motivated attorney with strong investigative, analytical, and advocacy skills; sound judgment; and a sophisticated understanding of securities regulation, trading, and market structure. The ideal candidate will have a proven ability to manage complex matters, navigate nuanced legal and factual issues, and thrive in a fast-paced, rapidly evolving regulatory landscape.

Knowledge and Experience

J.D. from an accredited law school and admission to, or ability to obtain admission to, the New York bar.
7+ years of legal experience, with significant securities enforcement, investigations, or broker-dealer regulatory experience strongly preferred.
Strong knowledge of securities trading, market structure, and the federal securities laws.
Demonstrated ability to independently lead and manage complex investigative and enforcement matters from inception through resolution or hearing.
Excellent analytical, writing, advocacy, and interpersonal skills.