IT Compliance Analyst

Overview

Job Purpose

NYSE Information Technology Compliance (“ITC”) is seeking an IT Compliance Analyst to join its growing team. ITC  is responsible for the development, implementation, and management of a comprehensive risk-based IT compliance program designed to support the company’s overall compliance with regulations, laws, and corporate policies relating to its IT systems and processes. In this role you will have a unique opportunity to learn advanced exchange technology concepts, work with industry-leading experts, and interface with virtually all business areas and seniority levels within NYSE and its parent company, Intercontinental Exchange (ICE). ITC is seeking a highly driven candidate with the energy and desire to thrive in its fast-paced and continually evolving IT regulatory environment.

Responsibilities

• Support efforts to respond to external regulatory examinations of NYSE IT systems, policies, procedures, and processes.
• Help facilitate responses to regulatory information requests in a timely manner, often requiring coordination across multiple business units.
• Undertake activities related to maintaining compliance with SEC Regulation Systems Compliance and Integrity (“Reg SCI”) and other similar regulatory requirements, while adhering to strict reporting deadlines.
• Drive communication between multiple business units including business, technology, regulation, legal and others, to ensure compliance objectives are met.  
• Provide strategic advice and guidance pertaining to IT compliance topics, often consisting of a complex technical nature.
• Ongoing monitoring and reporting of compliance status to key stakeholders.
• Support technical assessments of new systems, changes to existing systems, and software defects to identify potential areas of regulatory, operational, and functional risk and to identify compensating controls.

Knowledge and Experience

• Bachelor’s degree or equivalent in a relevant area of study.
• Relevant industry certifications are desired (ISACA, ISC2, ITIL, etc.).
• 2 years of experience, or equivalent, in the following professional areas, preferably in financial services and/or IT:
  • IT Governance, Risk, and Compliance (GRC)
  • IT Systems Development Lifecycle (SDLC) process or IT business analyst
  • IT audit or IT controls assurance
  • Government or Industry Regulator focusing on Technology Compliance
  • Equities or options markets, automated trading systems, or low latency market data processing
  • Regulatory compliance
• Demonstrate a solid understanding of information technology risk and control frameworks and be able to assess and design controls based on those frameworks (COBIT, ISO, NIST, ITIL, etc.).
• Ability to review and understand financial securities industry regulation.
• Ability to understand and communicate on a multitude of complex technical topics.
• Ability to context switch at a rapid pace with a changing audience.
• Excellent written, verbal, and presentation communication skills.
• Be a motivated self-starter with excellent time management skills.
• Exceptional problem-solving skills, attention to detail, and a continual willingness to learn.
• Experience writing and/or willingness to learn code or scripts (Python, Perl, Java, VBA, etc.) to implement process automation and or data analysis.

Schedule

This role offers work from home flexibility of one day per week. 

New York Base Salary Range 

The expected base salary for this role if located in New York City is between 115,000 - 140,000 USD.  The base salary range does not include Intercontinental Exchange’s incentive compensation.  While we provide this range as general guidance, at ICE we compensate employees based on the skillset and experience of the individual.  

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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