Associate General Counsel, Global Ethics & Compliance Program

Associate General Counsel, Global Ethics & Compliance Program

About the Company

Well-known securities exchange & financial services platform

Industry
Financial Services

Type
Public Company

Founded
1971

Employees
1001-5000

Categories

• B2B
• About Nasdaq
• Business
• Corporate Financial Research
• Economics
• Exchanges
• FOREX
• Finance
• IPOs
• Inc.
• NASDAQ
• Nasdaq's Corporate Website
• Nasdaq-listed
• Stocks and Bonds
• Technology
• Financial Services
• Market Research
• Brokerage
• Software
• Software Development & Design

Specialties

• technology solutions
• financial markets
• global trading
• equities
• market technology
• market services
• fixed income
• derivatives
• corporate solutions
• global index services
• listing services
• nasdaq marketsite
• and nasdaq marketsite

Business Classifications

• B2B

About the Role

The Company is seeking an Associate General Counsel to play a key role in its global ethics and compliance program. The successful candidate will be responsible for a wide range of activities, including program structuring, regulatory monitoring, anti-financial crime program, ethics program, diligence and integration of acquisitions, and incident investigation and response. This role requires a creative and adaptable attorney with enterprise-wide corporate compliance experience, particularly in the context of a global technology organization. The Associate General Counsel will be involved in maintaining and improving compliance programs, managing regulatory change processes, and integrating compliance into the company's risk management frameworks. They will also serve as primary legal advisors on various initiatives, represent compliance in company-wide activities, and provide legal support for incidents and ad hoc requests. The ideal candidate will have at least 8 years of legal practice, with a broad range of experience across different subject matter areas. While not all areas are required, experience in compliance program structuring, technology regulation, sanctions/export control, anti-corruption, corporate ethics, and incident response is highly valued. The role demands a professional with excellent interpersonal and communication skills, a collaborative approach, and the ability to manage complex projects with multiple stakeholders. A JD from an accredited US law school and admission to practice law in at least one US state or the District of Columbia is essential. The company is an equal-opportunity employer and is committed to fostering an inclusive workplace where diverse perspectives and experiences are valued.

Hiring Manager Title
Chief Compliance Officer

Functions

• Legal