Enforcement Counsel

2 weeks ago


Philadelphia, Pennsylvania, United States NASDAQ OMX Full time
Job Title: Enforcement Counsel

At Nasdaq OMX, we are seeking a highly skilled Enforcement Counsel to join our Investigations and Enforcement Team. As a key member of our team, you will play a critical role in protecting investors and maintaining market integrity by investigating potential violations of exchange and SEC rules.

Key Responsibilities:
  • Investigate potential violations of exchange and SEC rules, and take enforcement action when warranted.
  • Collaborate with enforcement team members to plan and conduct investigations, and develop the factual record.
  • Research and understand the legal requirements for charges and sanctions.
  • Recommend fair and meaningful outcomes, accurately assessing the evidence and applying a well-reasoned legal framework to support case resolution.
  • Develop and implement settlement strategy and advance settlement negotiations with member firms and associated persons.
  • Draft clear and organized settlement documents, including reasoned analysis of applicable rules, case precedent, and recommended sanctions.
Requirements:
  • 4+ years of experience working as a securities enforcement and/or litigation attorney at a financial industry regulator and/or top law firm.
  • Knowledge of securities regulation and the rules that govern equities and options markets.
  • Demonstrated ability to work independently with minimal guidance and as a part of a high-performing team.
  • Excellent communication skills and academic credentials, including a J.D. from an accredited law school.
What We Offer:

We are 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 OMX's overall success.

The base pay range for this role is $134,400 - $224,100. In addition to base salary, Nasdaq OMX provides a generous annual bonus/commission (short-term incentive), and equity (long-term incentive), comprehensive 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.



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