The Role
The Listings Analyst supports the regulatory functions for listing applications, trading halts, corporate actions, and issuer governance, engaging with company management and legal counsel as needed.
Summary Generated by Built In
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.
- 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.
For a more experienced candidate.
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The Company
What We Do
The Texas Stock Exchange (TXSE) aims to revitalize competition for issuers, establish the premier venue for listings, and create a world-class trading platform for all market participants. TXSE Group Inc is the parent company of the Texas Stock Exchange LLC. TXSE is headquartered in Dallas and plans to serve U.S.-based and international issuers, investors, and market participants. TXSE will offer both primary, dual, and ETP listings. With an initial capital raise of $161 million, TXSE is the most well-capitalized exchange to ever file a Form 1 with the U.S. Securities and Exchange Commission. TXSE is on track to receive SEC approval later this year and to begin trading in early 2026, with listings by the end of the same year.
