Assist in overseeing surveillance for trading in listed equities, requiring prompt informed analysis and decisions
Interpret referrals regarding suspected market abuse and disciplinary matters, determining proper course of action
Oversee the evaluation of markets to detect anomalies, review electronically generated alerts, and address market participant inquiries
Supervise and lead a professional staff by motivating, developing, recruiting and retaining staff while rewarding and cultivating a culture of high performers
Assist with developing quality assurance methods for our operations, including leveraging technology to drive innovation and efficiencies
Assist with developing initiatives that form market practice for extremely important processes specific to exchange trading, including development of proprietary systems and tools, regulations and standards, and ensuring alignment with strategy
Manage projects to support policy initiatives of Nasdaq, including assigning and coordinating staff project support and evaluating data and relevant materials for the development of recommendations
Prepare and participate in internal and external presentations
Lead project task forces or committees and provide thought leadership and assume responsibility for additional projects and tasks as assigned
An undergraduate degree in business, accounting, finance, data analytics or related field.
3+ years of regulatory, securities trading, data analytics and/or financial investigative related work experience.
Proven ability to work under pressure, and decisive judgment regarding significant events that impact the investing public
Excellent verbal and written communication, multi-task work performance, and presentation/negotiation skills are required.
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.
Benefits
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.Nasdaq's programs and rewards are intended to allow our employees to:Secure Wealth: 401(k) p401(k)Equity / stock optionsPerformance bonus
Additional Information
Nasdaq MarketWatch is hiring a Philadelphia-based manager. In this role, you will have a team of direct reports and largely be responsible for managing the post-trade investigations and interactions with the Surveillance Technology group.
Nasdaq's MarketWatch team operates a multifaceted surveillance program; including real-time surveillance for activity on the Nasdaq Equity exchanges to maintain an orderly marketplace and level playing field for investors, market participants and listed companies. To foster marketplace integrity, MarketWatch oversees the complete and timely disclosure of material information by Nasdaq-listed companies. In addition, MarketWatch monitors compliance with Exchange rules and policies through real-time and post-trade electronic surveillance patterns covering Nasdaq markets. Patterns detect, and the MarketWatch team analyzes anomalous price and volume data, as well as potential regulatory and policy infractions by market participants in equities transactions.
We are looking for an outstanding manager to help lead our team of regulatory experts in MarketWatch. In this role, you will report to the Associate Vice President of MarketWatch and be part of a team of 200+ legal, risk, compliance, and regulatory professionals located in the U.S. and Europe.
Our ideal candidate is able to, among other things:
Take a lead role in post-trade triage, investigations and referrals
Effectively communicate with software developers, and technical teams
Provide judgment on market surveillance of real time trading and deeper analysis of complex situations
Directly supervise surveillance analysts and manage their training and matters related to staffing
Provide guidance and make decisions that directly impact trading, e.g., trade breaks and suspensions
Communicate with issuers, their counsels, internal partners, member firms, the SEC, FINRA and other external parties (including the general public) on Nasdaq rules, policies, and procedures related to market surveillance
Support in matters related to staffing, budgeting, and other strategic initiatives related to Nasdaq's regulatory operations
Nasdaq · US