Listings Analyst

Role Overview

• Support the review of initial and continued listing applications for compliance with Exchange rules.
• Monitor issuer announcements for potential material news events and recommend regulatory trading halts where appropriate.
• Assist in the review and processing of corporate actions, including stock splits, dividends, mergers, spin-offs, and other transactions.
• Conduct basic financial statement analysis to evaluate issuer eligibility and ongoing compliance.
• Track and review public filings, including 10-K, 10-Q, 8-K, and proxy materials, with attention to governance disclosures and compliance triggers.
• Engage directly with issuers’ legal counsel, management teams, and financial advisors to resolve inquiries and support smooth transaction processing.Collaborate across internal teams including Legal, Market Operations, Surveillance, and Corporate Governance.

Requirements

• 1–4 years of experience in financial services, regulatory compliance, equity capital markets, or related roles.
• Foundational knowledge of capital markets, financial statements, SEC disclosure requirements, and corporate governance practices.
• Excellent written and verbal communication skills, with the ability to communicate directly with senior management and legal counsel.
• Strong organizational skills, attention to detail, and an ability to manage time-sensitive matters.
• Bachelor’s degree in finance, Economics, Accounting, Business, or a related field.
• Preferred Qualifications
• Prior experience at a stock exchange, self-regulatory organization, transfer agent, law firm, investment bank, or corporate issuer investor relations/compliance team.
• Familiarity with equity market structure, market data, and trading mechanics.
• Master’s degree, CPA, CFA, or other relevant certifications is a plus but not required.
• Knowledge of corporate transactions such as IPOs, SPACs, mergers, and spin-offs from a regulatory or capital markets perspective.
• 4–7 years of relevant experience in capital markets, regulatory oversight, issuer compliance, or legal advisory roles.
• Expanded Responsibilities:
• Lead the review process for complex or high-profile initial and continued listings.
• Own decision-making for trading halt recommendations, consulting with leadership when needed.
• Serve as a subject matter expert (SME) on corporate governance and compliance escalations.
• Participate in policy development, rule interpretation, and regulatory process enhancements.
• Represent the Exchange in issuer education efforts and industry working groups, where appropriate.