Vice President, US Market Surveillance
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Job Location:
Philadelphia, PA - USA
Monthly Salary:
Not Disclosed
Posted on:
Yesterday
Vacancies:
1 Vacancy
Job Summary
The U.S. surveillance function is responsible for realtime and posttrade monitoring across Nasdaqs U.S. exchanges detection of market abuse oversight of issuerrelated events that may impact trading and management of tradingfloor surveillance for Nasdaq PHLX. The team ensures compliance with SEC FINRA and SRO rules; identifies and escalates unusual market activity; and partners closely with regulatory legal and technology teams to safeguard transparent orderly and efficient markets.
The overarching goal of the U.S. Market Surveillance function is to uphold investor protection promote market integrity and ensure that the U.S. markets operated by Nasdaq remain fair orderly safe efficient and globally competitive.
Expectations of the Role:
In this executive leadership role you will be responsible for Nasdaqs consolidated surveillance program for its U.S. equities and options exchanges. The mission is to safeguard the integrity of the U.S. markets a core regulatory obligation and a foundational component of Nasdaqs reputation business model and license to operate.
This function operates as an independent regulatory unit within Nasdaq. Therefore its most important activities and decisionmaking processes are structured to ensure independence impartiality and the highest standards of integrity.
As the executive leading U.S. surveillance you will:
Set longterm strategic direction for the Market Surveillance organization including technology modernization crossmarket integration and adoption of advanced analytics and AI.
Identifyand champion strategic opportunities including enhancements to surveillance capabilities marketintegrity initiatives and regulatory innovation.
Leverage global perspectives incorporating best practices from other Nasdaq regions (Nordics Europe Canada etc.)and industry regulatory organizationsto strengthen the U.S. surveillance framework.
Serve as a primary regulatory steward accountable to senior executive leadership regulatory oversight committees and boards of Nasdaqs U.S. regulated entities.
Represent the organization externallyincluding withregulators member firms issuers and industry stakeholders.
Guide future technology development collaborating closely with regulatory technology teams data scientists and product partners to shape nextgeneration surveillance systems and capabilities.
Coordinate with Nasdaq regulatory and industry colleagues on cross-market surveillancematters as well as on outsourced regulatory responsibilitiesperformedby FINRAandsimilar organizations.
Your leadership will have a direct and material impact on market integrity investor confidence regulatory outcomes and Nasdaqs commercial and reputational success.
Education Professional Accomplishments & Certifications
Bachelors degree; advanced degree in law finance economics or related field preferred.
Experience
At least 1015 years of progressively senior experience in market surveillance exchange operations market regulation enforcement or related financialmarkets disciplines.
Skills & Requirements
Widely recognized subjectmatter expert with deep knowledge of U.S. market structure surveillance techniques regulatory obligations and technologies.
Demonstrated ability to influence regulatory business and industry stakeholders.
Experience leading multidisciplinary teams and driving change in fastmoving or highly regulated environments.
Ability toidentifyand solve complex evolving marketintegrity challenges using analytical innovative and forwardleaning approaches.
Strong strategic thinking and communication skills with the ability to brief senior executives regulators and boards.
Proven experience driving technology data and analytics transformation in a regulatory or marketstructure context.
High integrity sound judgment and an unwavering commitment to fair and orderly markets.
AssistNasdaqsMembership Department on certain matterspertaining tomember firms and their associatedpersonssubject todisciplinary actionor regulatory restrictions that may have a bearing on the firmor the persons ability to continue membership with a Nasdaq SRO.
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
Were 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 Nasdaqs 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.
Nasdaqs 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.
Required Experience:
Exec
Key Skills
- Change Management
- Financial Services
- Growing Experience
- Managed Care
- Management Experience
- Analysis Skills
- Senior Leadership
- Performance Management
- Process Management
- Leadership Experience
- negotiation
- Analytics
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