Job Purpose

The Senior Analyst, Exchange Traded Products will be a part of the NYSE Arca team and will monitor the process and compliance for all ETF and SP issues, policies, and procedures.

Responsibilities

  • Analyze Exchange Traded Fund (“ETF”) and Structured Product (“SP”) issuers and issues for initial listing on NYSE Arca:  review index data, review issue’s prospectus/pricing supplement, complete eligibility modules and prepare summary memoranda and letters.  Work with issuers, counsel and management to identify and resolve compliance issues prior to listing. Serve as secondary reviewer of listing applications, as needed.
  • Review NYSE Arca ETF/SP issues for continued listing compliance, including daily monitoring of NYSE Regulation’s system that captures required data disseminations.  Review related reports.  Escalate any valid exceptions with the appropriate parties.
  • Serve as a primary regulatory contact for listed and prospect issuers and their representatives as well as internal Client Service group.  Provide expert guidance on ETF and SP listing standards, policies and procedures.
  • Process all aspects of listing applications for listing on NYSE Arca.  Provide notice of new issues to issuers and other all constituents.  Enter key data into central database system.
  • Analyze material news and determine, in conjunction with Stock Watch and NYSE Regulation Management, whether a trading halt is required.
  • Track and work to resolve any central database system issues related to NYSE Arca issues.
  • Update database and tracking spreadsheets. Maintain files for SEC inspection.
  • Independently review SEC filings made by listed issuers to determine compliance with notification requirements.
  • Assist in preparation of annual ETF/SP compliance reviews, including analysis of ETF portfolios and underlying indices for continued listing.
  • Manage/work on special projects, as assigned.

Knowledge and Experience

  • Bachelor’s Degree – Business/Finance/Accounting Majors preferred
  • 2+ years of prior work experience in an accounting/finance role
  • Knowledge of financial markets (including equity, commodity, futures and currency markets), financial statement analysis, derivatives, corporate governance and listing criteria required.
  • Specific knowledge and experience regarding ETFs and SPs (including index composition/calculation methods) helpful
  • Understanding of recent developments in the ETF field
  • Strong analytical and problem solving skills
  • Self-starter with strong initiative
  • Proficiency with Microsoft Excel
  • Storng verbal and written communication and attention to detail
  • Ability to work independently and manage multiple projects concurrently under tight deadlines
  • Ability to communicate effectively with ETF issuers, index providers and regulators

Source: for more information click here.

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