Senior Regulatory Compliance Analyst

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

Youll thrive in this position ifyouredetail-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

Bachelors degree in Business Finance or related field or equivalent practical experience.

13 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

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.