Senior Regulatory Compliance Analyst

Senior Regulatory Compliance Analyst

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.
• 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.
• 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