TXSE is seeking a motivated and detail-oriented Analyst, Issuer Oversight, to join our Regulatory team in Dallas. This role is integral to supporting the Exchange’s regulatory functions related to initial and continued listing qualifications, regulatory trading halts, corporate actions, and issuer governance matters.

This is a client-facing role, with frequent interaction with listed company management teams, investor relations professionals, and legal counsel. The candidate should possess a foundational understanding of U.S. equity market structure, public company reporting requirements, and corporate governance standards

Key Responsibilities

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

Required Qualifications

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

For a more experienced candidate.

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

Jobs

Listings Analyst

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