Additional Information
At Nasdaq, we are relentlessly reimagining the world of tomorrow - one that is built on innovative technology, fueled by market-moving insights and driven by forward thinking. We provide our employees with the resources and opportunities needed to launch a career of achievement, growth and boundless possibilities.
We are looking for an exceptional and inspirational senior leader to guide our team of regulatory analysts in Nasdaq's Listing Qualifications Group. The Listing Qualifications group's mission is to protect investors and market integrity by ensuring that listed companies meet the quantitative and qualitative listing standards of the Nasdaq Stock Market and Nasdaq Texas. Our ideal candidate has expertise in securities laws, capital markets and exchange listing rules, has significant management and operational experience and is an effective leader and problem solver. Strong operational leadership, project management and ability to leverage technology and AI also will be critical to success. J.D strongly preferred; will consider other credentials, i.e., accounting background, MBA. Significant cross-team collaboration and leadership experience is required . This position reports to Nasdaq's SVP, Global Head of Regulatory Operations.
Your role and responsibilities:
Drive strategic direction of listings regulatory program.
Lead and motivate a team of regulatory analysts responsible for reviewing listing applications and monitoring companies and ETPs for compliance with the listing rules
Advise on listing rules and securities laws related to listing
Ensure that regulatory policies and procedures are followed, maintained and updated
Promote enhancements to the regulatory program that further investor protection and the fair and consistent application of listing rules
Oversee regulatory process for companies that fall out of compliance with listing rules and those being considered for initial listing
Create vision for and manage changes to Nasdaq Stock Market and Nasdaq Texas' listing standards
Coordinate with other regulatory bodies including FINRA and the SEC
Consult and advise on decisions on when to halt trading in securities
Build strong relationships with internal and external parties
Report on regulatory program and risk mitigation to regulatory oversight committee of the Nasdaq Stock Market and Nasdaq Texas board of directors and other internal risk and compliance committees
Advise on policy matters that are important to capital formation and support Nasdaq's listed companies
Reimagine and expand the use of technology to improve the efficiency of the regulatory program
We expect you to have:
Juris Doctor, strongly preferred; M.B.A. or other professional credentials with excellent academic record will also be considered
Deep knowledge of the capital markets, corporate and securities law and/or exchange listing rules
Significant leadership and management experience, ideally of an operational or regulatory team
Executive presence, combined with an ability to constructively push back on senior executives when necessary
Excellent written, communication, interpersonal and presentation skills
Strong analytical skills and creative problem solving abilities
Demonstrated commitment to investor protection such as through work for regulatory programs, investigations, compliance, risk mitigation or enforcement
Ability to build relationships and consensus
Skill in leveraging technology and embracing technological and AI tools to implement operational enhancements
Experience with change management organizational restructuring
10 to 15 years' experience
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.
Nasdaq · US