Regulatory Compliance Analyst

1 week ago


Rockville, Maryland, United States Nasdaq Full time

Who we are:

At Nasdaq, we are relentlessly reimagining the world of tomorrow - one that is built on innovative technology, fueled by market-moving insights and driven by forward thinking. We provide our employees with the resources and opportunities needed to launch a career of achievement, growth and boundless possibilities.

Nasdaq's Listing Qualifications Group's mission is to protect investors and market integrity by ensuring that listed companies meet the Nasdaq Stock Market's rigorous listing standards. We are looking for an exceptional regulatory analyst to join our experienced team of regulatory experts. Our ideal candidate is able to analyze financial statements, identify issues and areas of concern, is a problem solver, likes new challenges and can work effectively in a team environment. In this role, you will be part of a team of 200+ legal, compliance, surveillance and regulatory professionals located in the U.S. and Europe.

The analyst will support the Listing Qualifications department in the following activities:

  • Analyzing listing applications and related material to determine if a company should be listed on Nasdaq
  • Conduct daily regulatory reviews of Nasdaq listed companies for compliance with the continued listing requirements
  • Scrutinizing regulatory and criminal backgrounds of CEOs, CFOs, directors, and large shareholders
  • Coordinating with regulators such as the SEC and FINRA
  • Providing guidance on listing standards to companies and their advisors, as well as other groups within Nasdaq
  • Working on important initiatives and special projects, such as developing new listing rules and implementing new technologies to help us work more efficiently
Responsibilities
  • Review periodic SEC filings and other public information in a timely and thorough manner to ensure the quantitative and qualitative requirements for listing on The Nasdaq Stock Market.
  • Act as the primary regulatory contact on qualifications issues for new and continued listings, answering questions concerning all Nasdaq Stock Market quantitative, qualitative and corporate governance listing standards.
  • Complete regulatory referrals to other regulatory bodies.
  • Assist with interpretation requests from internal and external stakeholders.
  • Participate in additional projects and tasks as required.
Requirements
  • Undergraduate or graduate degree in Business/Finance/Accounting/Law or related discipline
  • Excellent written and communication skills
  • Ability to read and understand financial statements
  • Familiarity with SEC filings
  • Experience Required: 1 to 3 years
This position offers the opportunity for a hybrid work environment (2 days a week in office), providing flexibility and accessibility for qualified candidates

Come as You Are

Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.

What We Offer

We're proud to offer a competitive rewards package that is meaningful, recognizes the unique needs of our employees and their families and incentivizes employees for their contribution to Nasdaq's overall success.

In addition to base salary, Nasdaq offers significant other compensation (annual bonus/commissions and equity), benefits, and opportunity for growth. Exact compensation may vary based on several job-related factors that are unique to each candidate, including but not limited to: skill set, experience, education/training, business needs and market demands.

Nasdaq's programs and rewards are intended to allow our employees to:
  • Secure Wealth: 401(k) program with 6% employer match, Employee Stock Purchase Program with 15% discount, Student loan repayment program up to $10k, Company paid life and disability plans, Generous paid time off
  • Prioritize Health: Comprehensive medical, dental and vision coverage, Health spending account with employer contribution, Paid flex days to support mental wellbeing, Gym membership discounts
  • Care for Family: Hybrid home/office schedule (for most positions), Paid parental leave, Fertility benefits, Paid bereavement leave
  • Connect with Community: Company gift matching program, Employee resource groups, Paid volunteer days
  • Grow Career: Education Assistance Program, Robust job skills training and Professional development opportunities
For more information, visit Nasdaq Benefits & Rewards Career page
  • Program Analyst

    1 week ago


    Rockville, Maryland, United States Nuclear Regulatory Commission Full time

    Summary This position is located in the Office of the Chief Information Officer (OCIO), Cybersecurity and Infrastructure Security Division (CISD). The supervisor is Katie Harris. This position is Bargaining Unit with the National Treasury Employees Union, Chapter 208. The position is not subject to Confidential Financial Disclosure or security ownership...

  • Compliance Analyst

    7 days ago


    Rockville, Maryland, United States BAE Systems USA Full time

    Exciting Opportunity as a Compliance Analyst at BAE Systems!Join a team where you are valued and empowered beyond just a numberUtilize your expertise in government contract accounting to ensure accurate reporting and policy complianceTake on new challenges and grow your career with diverse offerings and projectsResponsibilities:Support financial and...

  • Program Analyst

    1 week ago


    Rockville, Maryland, United States Nuclear Regulatory Commission Full time

    Summary This position is located in the Office of the Chief Information Officer (OCIO), Cybersecurity and Infrastructure Security Division (CISD). The supervisor is Katie Harris. This position is Bargaining Unit with the National Treasury Employees Union, Chapter 208. The position is not subject to Confidential Financial Disclosure or security ownership...


  • Rockville, Maryland, United States ConsultNet Full time

    Security Compliance Analyst Anywhere, US (100% remote, occasional travel to client site, likely once a quarter, if that may be asked, but otherwise full remote) Long-Term Contract Job Description: Our client is seeking a strong FedRAMP focused (ideally) Sr level Security Compliance Analyst to support our customers team who is responsible for performing...


  • Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full time

    FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Lead Analyst, Technology - Consolidated Audit Trail: The...


  • Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full time

    FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Associate Principal Analyst, MRTS-Operational Reporting...


  • Rockville, Maryland, United States Foundation of the NIH Full time

    ABOUT THE ORGANIZATION:The Foundation for the National Institutes of Health (FNIH) connects the world's leading public and private organizations to accelerate biomedical breakthroughs for patients. The FNIH brings together leading scientist to navigate and solve complex human health problems and advance development of new therapies, diagnostics, and...


  • Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full time

    Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.Conducts risk...


  • Rockville, Maryland, United States GlaxoSmithKline Full time

    Site Name:USA - Maryland - RockvillePosted Date:Jun 5 2024Job Purpose:Ensure the development of appropriate global and/or regional regulatory strategy(s) and their execution for assigned asset(s), across all stages of the product life cycle and consistent with Asset Development Strategy /Integrated Asset plan. This goal has to be achieved while ensuring...


  • Rockville, Maryland, United States GlaxoSmithKline Full time

    Site Name: USA - Maryland - RockvillePosted Date: Jun 5 2024Job Purpose:Ensure the development of appropriate global and/or regional regulatory strategy(s) and their execution for assigned asset(s), across all stages of the product life cycle and consistent with Asset Development Strategy /Integrated Asset plan. This goal has to be achieved while ensuring...


  • Rockville, Maryland, United States GlaxoSmithKline Full time

    Site Name: USA - Maryland - Rockville, USA - Pennsylvania - Upper ProvidencePosted Date: Apr Are you looking for a regulatory leadership role where you can build advocacy and accelerate product development and licensure on a global scale, but with a focus on US? If so, this Director, Global Regulatory Affairs, Vaccines role could be an exciting opportunity...


  • Rockville, Maryland, United States GlaxoSmithKline Full time

    Site Name: Siena, GSK House, Italy - Siena, Switzerland - Zug, USA - Maryland - RockvillePosted Date: May The Regulatory Affairs Vaccines Therapeutic Group is looking for a new team member to join and work on one of our accelerator projects.The purpose of this team is to ensure the development of appropriate global and/or regional regulatory strategy(s) and...

  • Cost Benefit Analyst

    3 weeks ago


    Rockville, Maryland, United States USAJobs Full time

    DutiesThe successful candidate will perform the full range of duties as a Cost Benefit Analyst. This position involves formulating and recommending NRC policy and positions relating to the conduct of regulatory analyses. The analyst will prepare cost-benefit analyses, design costing methods, research and develop cost estimating relationships, develop data...


  • Rockville, Maryland, United States GlaxoSmithKline Full time

    Site Name: USA - Maryland - RockvillePosted Date: Jun GSK is currently looking for a Compliance Engineer to join our Team in Rockville, MD The role involves overseeing and verifying that both the engineering department and the entire facility adhere to Engineering, GSK, and regulatory standards. It is essential to maintain technical engineering records...

  • Policy Analyst

    1 week ago


    Rockville, Maryland, United States Housing Opportunities Commission Full time

    Department:Office of Legislative and Public Affairs Location:Main Office Kensington, Md 10400 Detrick Avenue Job Type:Full Time Education: 4 Year Degree Pay Rate:Grade 24; Salary Range $66,036 to $87,824 Job Description:Salary Commensurate with Experience The Policy Analyst is a newly created professional position under the Legislative and Public Affairs...


  • Rockville, Maryland, United States TEKsystems Full time

    TEKsystems Security Compliance Lead Rockville , Maryland Apply Now As a Security Compliance Analyst, you will be joining a team performing security assessments and providing consulting support to assist clients in meeting FISMA and FedRAMP requirements. The ideal candidate will have a firm understanding of how to apply the principles of Information Security...


  • Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full time

    The Employee Relations (ER) Team is a distinct function within FINRA's People Solutions Department responsible for investigating employee complaints. Essential Job Functions:The Senior Employee Relations Manager will be responsible for:Conduct robust investigations into employee complaints and allegations of misconduct in a timely, fair, and balanced...


  • Rockville, Maryland, United States Westat Full time

    Westat is an employee-owned corporation providing research services to agencies of the U.S. Government, as well as businesses, foundations, and state and local governments. Westat's research, technical, and administrative staff of more than 2,000 is located at our headquarters in Rockville, Maryland, near Washington, DC.Westat is committed to building a...


  • Rockville, Maryland, United States Westat Full time

    Westat is an employee-owned corporation providing research services to agencies of the U.S. Government, as well as businesses, foundations, and state and local governments. Westat's research, technical, and administrative staff of more than 2,000 is located at our headquarters in Rockville, Maryland, near Washington, DC.Westat is committed to building a...


  • Rockville, Maryland, United States Montgomery College Full time

    Job DescriptionMontgomery College, Office of Information Technology, has an immediate need for a Cyber Defense Analyst II. We are willing to consider a candidate at the Cyber Defense Analyst I level for this position. The work schedule is Monday - Friday. This is a Non-Bargaining, Exempt, grade 33 position. Montgomery College promotes and creates a working...