National Stock Exchange, Inc. & Nsx Securities Llc Work Values

Daily Duties at National Stock Exchange, Inc. & Nsx Securities Llc:

• Conduct Cause and Cycle Examinations of National Stock Exchange (NSX) Equity Trading Permit (ETP) Holders. • As Senior Examiner I managed examinations staff to complete the annual program. • Co-author of the NSX’s updated examination modules and procedures. • Developed multiple Surveillance Reports, specifically wrote the Quality Analysis (QA) documents, per report design in the Functional Requirements Specification (FRS) report. • Works in concert with systems staff and consultants to prepare Surveillance FRS report. • Monitors systemic outages and serves as back-up to in the event of a system outage. • Analyze and research orders from manual and database-generated trading reports. • Analyze monthly and quarterly FOCUS reports as well as Annual Filings for all NSX ETP Holders. • Search databases for trades, order information, and execution information for any possible exception orders. • Refer systemic/Surveillance report issues to the systems development staff via the Mantis system. • Responsible for keeping track, via NSX systems, of all issue/symbol additions and deletions/suspensions. All adds and deletes must be entered directly into the trading system NSX BLADE’s main database. • Composes and updates procedures for analyzing trading reports as needed. • Gather documents in preparation for SEC and FINRA exams. • Analyze Financial Crimes Enforcement Network (FinCEN) Secure Information Sharing System (SISS) Reports for Self-Verification of NSX Securities’ ETP Holders. • Analyze ETP Applications and work with prospective ETP Holders to prepare for trading on the NSX. • I have also acted as an Investigator for the NSX as help was needed. o Receives referrals from the Surveillance and Examinations departments and researches the data available to Staff to determine if an investigation is necessary. o Communicates with ETP Holders to request further information as a result of an investigation. o Determine if the data provided by the ETP Holder is sufficient for closing or referral to the NSX’s Enforcement committee.

What they like about National Stock Exchange, Inc. & Nsx Securities Llc:

You highly value a work environment built on a formal structure, rules, and regulations. You do not enjoy the unpredictability of shifting priorities and deadlines that upset your routine. You require and enjoy direction, input and accountability as part of your work environment. You have a strong need to participate in making key decisions and feel left out if your superiors or co-workers do not seek your input when making decisions. You thrive on providing good customer service to both internal or external customers, and doing so makes you feel good.

Tags

Securities, Equities, Regulation, Compliance, Examiner, Audit, Trading

Skills

Technology Solutions, Sales Support, Software Implementation, Requirements Analysis & Specification, Leadership

These are some of the questions we asked our climbers about their experiences with National Stock Exchange, Inc. & Nsx Securities Llc: