Regulatory Compliance Analyst

2 weeks ago

New York, New York, United States Nasdaq Full time

Nasdaq Technology is seeking a Regulatory Compliance Analyst to enhance our Broker Dealer team. If you are driven by innovation and efficiency, this role may be the perfect fit for you.
At Nasdaq, we are committed to transforming markets and embracing new technologies to create cutting-edge solutions that shape the future. As a Regulatory Compliance Analyst, you will be instrumental in the execution and oversight of intricate regulatory standards, ensuring that we meet the requirements across various jurisdictions for both new and existing clients.

We are currently looking for a Senior Regulatory Compliance Analyst to bolster our Product Management team. In this role, you will lead the analysis of diverse Broker-Dealer regulatory mandates and provide support to team members within the Nasdaq Regulatory Reporting FinTech group.

Joining the Product Management division at Nasdaq will allow you to refine your skills in interpreting legal documentation and translating it into actionable outcomes. You will gain practical experience in the Broker-Dealer sector by engaging with various client data and reporting scenarios. This position will offer ongoing learning opportunities in the regulatory domain while providing a broader perspective on the operational aspects of investment banking. The role is primarily focused on internal collaboration, with some client engagement and potential travel.

Your key responsibilities include:

  • Conducting research on regulatory changes, leading the analysis and integration of these changes into our solutions.
  • Drafting solution specifications, including Business Requirements and Functional Specifications for the development team.
  • Reverse engineering existing solutions to identify improvements and ensure accuracy.
  • Performing thorough analyses of regulatory changes.
  • Monitoring updates to regulatory rules to ensure our solutions remain compliant.
  • Utilizing our Controller View platform to comprehend the implementation of regulatory requirements across jurisdictions.
  • Collaborating with the development team to ensure business requirements are clearly articulated.
  • Guiding the Quality Assurance team on testing scenarios, reviewing test cases and outcomes.
  • Assisting the Pre-sales team with Proof of Concepts and demonstrations for prospective clients.
  • Engaging with current clients to understand their business needs and representing the Broker Dealer team in discussions.
We expect you to have:
  • A minimum of 8-10 years of experience in regulatory reporting and business or regulatory change analysis.
  • Experience in reviewing regulations and converting requirements into functional specifications/business requirement documents.
  • A solid understanding of key financial products, particularly equities, fixed income, and derivatives.
  • Excellent communication skills and the ability to collaborate effectively in a dynamic environment, especially with technically-oriented colleagues.
  • A highly organized and methodical approach to analysis.
  • A goal-oriented and self-motivated mindset.
  • The ability to work under pressure and meet deadlines.
It would be advantageous if you have:
  • Prior experience with Financial Responsibility Rules for Broker-Dealers, Swap Dealers, and FCMs. Financial Reporting experience is a plus.
  • Familiarity with regulations such as Rules 15c3-3 and 15c3-1.
  • Experience as a Business Analyst.
  • Experience in guiding Project Managers.
What can you expect from working here?

Nasdaq fosters a vibrant and entrepreneurial culture where initiative, challenging the status quo, and intelligent risk-taking are encouraged. We strive to create an inclusive environment where everyone feels welcome and empowered. Our hybrid work model supports work-life balance and promotes well-being.

What do we offer?
  • Annual monetary bonus.
  • Opportunities to become a Nasdaq shareholder.
  • Employee Stock Purchase Program with discounts.
  • Comprehensive Health Insurance Program.
  • Flexible working hours and hybrid work options.
  • Flex day program (up to 6 paid days off annually).
  • Internal mentorship opportunities.
  • A wide range of online learning resources, including platforms like Udemy.
Join us in shaping the future of finance.

Nasdaq is an equal opportunity employer, welcoming applications from qualified 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 law. We are committed to providing reasonable accommodations for individuals with disabilities throughout the application and interview process.

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