Regulatory Compliance Analyst

3 weeks ago

Rockville, 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

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