Senior Regulatory Compliance Analyst

Nasdaq; Philadelphia (Philadelphia County); Hybrid; USD 90,000 - 120,000; Full time

Benefits offered by this job

401(k) employer match

Employee Stock Purchase Program

Student loan repayment up to $10k

Life and disability insurance

Generous paid time off

Health, dental, and vision coverage

Health spending account with employer

Hybrid work arrangement

Paid parental leave

Fertility benefits

Paid bereavement leave

Gift matching program

Employee resource groups

Paid volunteer days

Education Assistance Program

Professional development opportunities

Job summary

Nasdaq is seeking a Senior Regulatory Compliance Analyst to monitor real-time market activity, assess regulatory impact, and maintain fair and orderly markets. You will work with leadership to identify non-compliance and coordinate with market participants and listed companies.

This role emphasizes rigorous analysis, collaboration, and timely reporting in a fast-paced environment. The position is based in Philadelphia with a hybrid work arrangement (in-office at least 3 days a week).

Qualifications

• Bachelor’s degree in Business, Finance, or related field or equivalent practical experience.
• 1–3 years of experience in regulatory compliance, market surveillance, or financial services.
• Strong analytical and research skills with the ability to synthesize information from multiple sources.
• Clear communicator with experience working in collaborative, time-sensitive environments.
• Proficiency in AI agents and experience navigating regulatory databases and newswires.

Responsibilities

• Monitor real-time trading activity across securities markets to identify anomalies and ensure compliance with trading rules.
• Research material news and regulatory filings to assess impact on listed companies and recommend trading halts when appropriate.
• Analyze trading patterns and alert dispositions to detect potentially volatile or non-compliant activity.
• Complete regulatory referrals and provide clear summaries of trends and findings to leadership and market regulation entities.
• Partner with market participants, listed companies, and internal stakeholders to gather information and support investigations.

Skills

Analytical skills

Research skills

Clear communication

AI/regulatory tools proficiency

Education

Bachelor’s degree in Business, Finance, or related field

Tools

Regulatory databases

Newswires

Job description

As a Senior Regulatory Compliance Analyst reporting tothe AVP – Regulatory Compliance,you’llplay a critical role in monitoring market activity, ensuring regulatory compliance, andmaintainingfair and orderly markets for investors, participants, and listed companies.

You’ll thrive in this position ifyou’redetail-oriented, analytical, and passionate about financial regulation and market integrity in a fast-paced, high-impact environment.

Key Responsibilities

• Monitor real-time trading activity across securities markets toidentifyanomalies and ensure compliance with trading rules.
• Research material news and regulatory filings to assess impact on listed companies and recommend trading halts whenappropriate.
• Analyze trading patterns and alert dispositions to detect potentially volatile or non-compliant activity.
• Complete regulatory referrals and provide clear summaries of trends and findings to leadership and market regulation entities.
• Partner with market participants, listed companies, and internal stakeholders to gather information and support investigations.

Required Qualifications

• Bachelor’s degree in Business, Finance, or related field, or equivalent practical experience.
• 1–3 years of experience in regulatory compliance, market surveillance, or financial services.
• Strong analytical and research skills with the ability to synthesize information from multiple sources.
• Clear communicator with experience working in collaborative, time-sensitive environments.
• Proficiencyin AI agents and experience navigating regulatory databases and newswires.

Preferred Qualifications

• Experience in capital markets, securities regulation, or exchange operations.
• Familiarity with FINRA, SEC, or other regulatory frameworks.
• Exposure toreal-time market surveillance systems and trading technologies.

This position willbelocatedinPhiladelphia andoffers 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 welcome applications from candidates of all backgrounds and identities.

We are committed to fostering an inclusive workplace where diverse perspectives, experiences, and identities are valued and celebrated.

We ensure that individuals with disabilities are provided with reasonable accommodation throughout the hiring process.

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 .