VP, US Listings Qualifications

Nasdaq; Philadelphia (Philadelphia County); Hybrid; USD 130,000 - 180,000; Full time

Benefits offered by this job

401(k) program with employer match

Comprehensive health coverage

Hybrid work schedule

Generous paid time off

Professional development opportunities

Job summary

A leading financial services company in Philadelphia seeks a senior leader to guide regulatory analysts within its Listing Qualifications Group. This role requires a deep knowledge of securities laws and significant management experience, fostering compliance with listing standards. Candidates should possess a J.D., strong analytical and communication skills, and a commitment to investor protection. Nasdaq offers a hybrid work environment and a competitive rewards package including bonuses, benefits, and professional growth opportunities.

Qualifications

• 10 to 15 years of experience in capital markets or regulatory roles.
• Deep understanding of corporate and securities law.
• Ability to lead and influence senior executives.

Responsibilities

• Drive the strategic direction of the listings regulatory program.
• Lead a team of regulatory analysts in compliance review.
• Advise on securities laws and regulatory policy matters.

Skills

Leadership

Regulatory Compliance

Securities Law

Analytical Skills

Communication Skills

Education

Juris Doctor (J.D)

MBA or other relevant credentials

Tools

AI Technology

Job description

Overview

At Nasdaq, we are relentlessly reimagining the world of tomorrow — one that is built on innovative technology, fueled by market-moving insights and driven by forward thinking. We provide our employees with the resources and opportunities needed to launch a career of achievement, growth and boundless possibilities.

We are looking for an exceptional and inspirational senior leader to guide our team of regulatory analysts in Nasdaq’s Listing Qualifications Group. The Listing Qualifications group’s mission is to protect investors and market integrity by ensuring that listed companies meet the quantitative and qualitative listing standards of the Nasdaq Stock Market and Nasdaq Texas. Our ideal candidate has expertise in securities laws, capital markets and exchange listing rules, has significant management and operational experience and is an effective leader and problem solver. Strong operational leadership, project management and ability to leverage technology and AI also will be critical to success. J.D strongly preferred; will consider other credentials, i.e., accounting background, MBA. Significant cross-team collaboration and leadership experience is required. This position reports to Nasdaq’s SVP, Global Head of Regulatory Operations.

Responsibilities

• Drive strategic direction of listings regulatory program.
• Lead and motivate a team of regulatory analysts responsible for reviewing listing applications and monitoring companies and ETPs for compliance with the listing rules.
• Advise on listing rules and securities laws related to listing.
• Ensure that regulatory policies and procedures are followed, maintained and updated.
• Promote enhancements to the regulatory program that further investor protection and the fair and consistent application of listing rules.
• Oversee regulatory process for companies that fall out of compliance with listing rules and those being considered for initial listing.
• Create vision for and manage changes to Nasdaq Stock Market and Nasdaq Texas’ listing standards.
• Coordinate with other regulatory bodies including FINRA and the SEC.
• Consult and advise on decisions on when to halt trading in securities.
• Build strong relationships with internal and external parties.
• Report on regulatory program and risk mitigation to regulatory oversight committee of the Nasdaq Stock Market and Nasdaq Texas board of directors and other internal risk and compliance committees.
• Advise on policy matters that are important to capital formation and support Nasdaq’s listed companies.
• Reimagine and expand the use of technology to improve the efficiency of the regulatory program.

Qualifications

• Juris Doctor, strongly preferred; M.B.A. or other professional credentials with excellent academic record will also be considered.
• Deep knowledge of the capital markets, corporate and securities law and/or exchange listing rules.
• Significant leadership and management experience, ideally of an operational or regulatory team.
• Executive presence, combined with an ability to constructively push back on senior executives when necessary.
• Excellent written, communication, interpersonal and presentation skills.
• Strong analytical skills and creative problem solving abilities.
• Demonstrated commitment to investor protection such as through work for regulatory programs, investigations, compliance, risk mitigation or enforcement.
• Ability to build relationships and consensus.
• Skill in leveraging technology and embracing technological and AI tools to implement operational enhancements.
• Experience with change management organizational restructuring.
• 10 to 15 years’ experience.

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.