Senior Regulatory Compliance Analyst | Philadelphia, PA, USA

Nasdaq; Philadelphia (Philadelphia County); On-site; USD 70,000 - 90,000; Full time

Job summary

A leading company in the financial sector seeks a professional to provide legal guidance on securities and banking regulations. The role primarily involves analyzing trading activities for compliance, maintaining relationships with regulatory bodies, and ensuring market participants adhere to relevant rules. The successful candidate will possess a degree in Business or Finance and have significant experience in regulatory matters, alongside a competitive salary and benefits package.

Benefits

401(k) program with 6% employer match

Comprehensive medical, dental and vision coverage

Employee Stock Purchase Program with 15% discount

Paid parental leave

Education Assistance Program

Qualifications

• Minimum of 3 years' experience in regulatory matters.
• Knowledge of trading compliance and real-time surveillance.
• Strong analytical and research skills.

Responsibilities

• Conducts analysis of trading activity for compliance.
• Researches material news affecting listed companies.
• Monitors market participants for compliance with trading rules.

Skills

Analytical Skills

Regulatory Knowledge

Research Skills

Education

Degree in Business/Finance

Job description

Provides legal guidance and counsel related to securities and banking regulatory matters. Staff maintains relationships with regulatory bodies and agencies and has significant expertise in industry regulatory matters.

• Researches newswires for material news affecting listed companies and for potential trading halts.
• Completes regulatory referrals as appropriate to market regulation entity.
• Analyzes trading activity for market participant compliance with relevant trading rules and regulatory compliance, providing summaries and trends to supervisor and/or team.
• Analyzes disposition of real-time alerts for indications of potentially volatile activity by compiling and organizing information from a variety of sources including, internal data and phone interviews with market participants, listed companies and others.
• Conducts real-time surveillance of activity on the company's securities markets to maintain an orderly marketplace and level playing field for investors, market participants and listed companies, providing anomalies to supervisor.
• Researches regulatory filings, other disclosures and trading information to ensure compliance with relevant standards.

• Education Required: Degree in Business/Finance or related discipline
• Experience Required: At least 3 years

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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