Regulatory Compliance Analyst

1 week ago

Rockville, United States Verafin 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.

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

- 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

Come as You Are

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.

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

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