Compliance & Operations Specialist

1 week ago

Philadelphia, PA, United States Nasdaq Full time
Compliance & Operations Specialist

We are seeking a detail-oriented Compliance and Operations Specialist to join our team at Nasdaq. This role is critical to maintaining the integrity of operations and mitigating regulatory risk across the business. The successful candidate will serve as the primary point of contact for customer order tracking, vendor coordination, and internal team collaboration to deliver services within established SLAs.

Key Responsibilities

  • Monitor and audit operations to ensure adherence to regulatory requirements and internal policies.
  • Identify and mitigate compliance risks through proactive measures and process improvements.
  • Prepare and deliver compliance reports and updates to management regularly.
  • Support client communications and order tracking to maintain transparency and SLA compliance.
  • Coordinate cross-functional teams to ensure seamless service delivery and documentation accuracy
Required Qualifications
  • Bachelor's degree in Business Administration, Compliance, legal, or related field
  • 2-3 years of experience in compliance, regulatory, audit, customer operations, order management, or similar role
  • Familiarity with industry-specific regulations - SOX, GDPR, SEC, FINRA
  • Excellent communication skills, both written and verbal
  • Detail-oriented with strong analytical and problem-solving abilities
Preferred Qualifications
  • Certifications Certified Internal Auditor (CIA), Certified Information Systems Auditor (CIA), Certified Fraud Examiner (CFE), Certified Compliance & Ethics Professional (CCEP)
  • Exposure to SEC regulatory processes including rule filings for facilities of the exchange
  • Experience with process improvement and optimization
This position will be located in Philadelphia, and offers the opportunity for a hybrid work environment at least 3 days a week in office, subject to change, 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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