Senior Regulatory Compliance Analyst

Nasdaq, Inc.; Philadelphia (Philadelphia County); Hybride; USD 90 000 - 130 000; Plein temps

Avantages offerts par ce poste

401(k) match

Employee stock purchase

Student loan repayment

Paid time off

Health coverage

Résumé du poste

Nasdaq, Inc. in Philadelphia is seeking a Senior Regulatory Compliance Analyst who will monitor real-time trading activity, assess regulatory impact, and help maintain market integrity in a fast-paced environment.

You will research filings, determine halts when appropriate, and partner with participants and internal teams to support investigations; strong analytical and communication skills are essential.

Qualifications

• Bachelor's degree in Business, Finance, or related field.
• 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 in collaborative, time-sensitive environments.
• Proficiency in AI agents and experience navigating regulatory databases and newswires.

Responsabilités

• 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.

Connaissances

Analytical skills

Regulatory databases

Newswires

Communication

AI agents

Formation

Bachelor's degree in Business/Finance

Outils

Market surveillance systems

Trading technologies

Description du poste

As a Senior Regulatory Compliance Analyst reporting to the AVP – Regulatory Compliance, you'll play a critical role in monitoring market activity, ensuring regulatory compliance, and maintaining fair and orderly markets for investors, participants, and listed companies. You'll thrive in this position if you're detail-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 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.

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.
• Proficiency in 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 to real-time market surveillance systems and trading technologies.

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 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.

At Nasdaq, we're proud to be the engine behind the world's capital markets. But we don't stop there. We build the technology that drives transparency, trust, and access–helping economies grow and people thrive. Our purpose is to advance economic progress for all. Whether you're a client, a colleague, or part of our broader community, we're here to move markets–and possibilities–forward. Join our Talent Community to stay in the loop on upcoming roles, events, and new opportunities across Nasdaq. Our hybrid work model, NasdaqBlend, gives you flexibility to do your best work–whether that's from home, in the office, or a mix of both. Check the job listing or reach out to our team for role-specific details. We're a global team of over 8,500 innovators across 38 countries, united by a shared purpose: advancing economic progress for all. It's not just what we do—it's how we do it, together. Want a deeper look into our culture? Explore our Culture Book. We support your success through You&Q, our total rewards program that covers every dimension of life—from building wealth and growing your career to prioritizing well-being and family care. Join the Team Advancing Economic Progress for All.