Who we are:
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.
Nasdaq’s Listing Qualifications Group’s mission is to protect investors and market integrity by ensuring that listed companies meet the Nasdaq Stock Market’s rigorous listing standards. We are looking for an exceptional regulatory analyst to join our experienced team of regulatory experts. Our ideal candidate is able to analyze financial statements, identify issues and areas of concern, is a problem solver, likes new challenges and can work effectively in a team environment. In this role, you will be part of a team of 200+ legal, compliance, surveillance and regulatory professionals located in the U.S. and Europe.
The analyst will support the Listing Qualifications department in the following activities:
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.
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:
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.
Nasdaq’s Listing Qualifications Group’s mission is to protect investors and market integrity by ensuring that listed companies meet the Nasdaq Stock Market’s rigorous listing standards. We are looking for an exceptional regulatory analyst to join our experienced team of regulatory experts. Our ideal candidate is able to analyze financial statements, identify issues and areas of concern, is a problem solver, likes new challenges and can work effectively in a team environment. In this role, you will be part of a team of 200+ legal, compliance, surveillance and regulatory professionals located in the U.S. and Europe.
The analyst will support the Listing Qualifications department in the following activities:
- Analyzing listing applications and related material to determine if a company should be listed on Nasdaq
- Conduct daily regulatory reviews of Nasdaq listed companies for compliance with the continued listing requirements
- Scrutinizing regulatory and criminal backgrounds of CEOs, CFOs, directors, and large shareholders
- Coordinating with regulators such as the SEC and FINRA
- Providing guidance on listing standards to companies and their advisors, as well as other groups within Nasdaq
- Working on important initiatives and special projects, such as developing new listing rules and implementing new technologies to help us work more efficiently
- Review periodic SEC filings and other public information in a timely and thorough manner to ensure the quantitative and qualitative requirements for listing on The Nasdaq Stock Market.
- Act as the primary regulatory contact on qualifications issues for new and continued listings, answering questions concerning all Nasdaq Stock Market quantitative, qualitative and corporate governance listing standards.
- Complete regulatory referrals to other regulatory bodies.
- Assist with interpretation requests from internal and external stakeholders.
- Participate in additional projects and tasks as required.
- Undergraduate or graduate degree in Business/Finance/Accounting/Law or related discipline
- Excellent written and communication skills
- Ability to read and understand financial statements
- Familiarity with SEC filings
- Experience Required: 1 to 3 years
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.
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
-
Seniority level
Associate -
Employment type
Full-time -
Job function
Legal, Quality Assurance, and Public Relations -
Industries
Financial Services
Referrals increase your chances of interviewing at Nasdaq by 2x
See who you knowGet notified about new Regulatory Compliance Analyst jobs in Rockville, MD.
Sign in to create job alertSimilar jobs
-
Legal Executive Assistant
Legal Executive Assistant
The Goodkind Group, LLC
-
Contracts Analyst
Contracts Analyst
Adams & Martin Group
-
Legal Analyst
Legal Analyst
eTeam
-
Internal Audit Associate - Legal & Compliance Group
Internal Audit Associate - Legal & Compliance Group
Morgan Stanley
-
Legal Executive Assistant (Global Law Firm)
Legal Executive Assistant (Global Law Firm)
Kay Search Group
-
Legal Receptionist - Administrative Assistant
Legal Receptionist - Administrative Assistant
Hargrave Family Law
-
Legal Analyst
Legal Analyst
Atlantic Group
-
Junior Compliance Analyst/Paralegal
Junior Compliance Analyst/Paralegal
Kashable
-
Legal Researcher
Legal Researcher
Brewer, Attorneys & Counselors
-
Analyst, Corporate Governance Consulting
Analyst, Corporate Governance Consulting
Morrow Sodali
-
Legal Analyst
Legal Analyst
Beacon Hill
-
Regulatory Compliance Analyst
Regulatory Compliance Analyst
Krispy Kreme
-
Legal Analyst
Legal Analyst
Atlantic Group
-
Legal | Analyst | Dallas
Legal | Analyst | Dallas
Goldman Sachs
-
Corporate Paralegal - Multinational Hedge Fund
Corporate Paralegal - Multinational Hedge Fund
Simmons & Hanbury
-
Assistant Manager, Business & Legal Affairs
Assistant Manager, Business & Legal Affairs
Warner Music Group
-
Legal Counsel
Legal Counsel
adidas
-
Legal and Compliance Analyst
Legal and Compliance Analyst
Atlantic Group
-
Legal Counsel-TEMU
Legal Counsel-TEMU
Temu
-
Legal Executive Assistant (Global Law Firm)
Legal Executive Assistant (Global Law Firm)
Kay Search Group
-
Legal Executive Assistant (Global Law Firm)
Legal Executive Assistant (Global Law Firm)
Kay Search Group
-
Legal Counsel, Revenue
Legal Counsel, Revenue
Condé Nast
-
Counsel, Legal Investigations
Counsel, Legal Investigations
Meta
-
Legal Investigative Analyst
Legal Investigative Analyst
CoStar Group
-
Corporate Legal Assistant - Elite Law Firm, REMOTE
Corporate Legal Assistant - Elite Law Firm, REMOTE
Lateral Link
-
Legal Risk & Conflicts Analyst (Global Law Firm)
Legal Risk & Conflicts Analyst (Global Law Firm)
Kay Search Group
-
Corporate Paralegal [Direct Hire - Remote]
Corporate Paralegal [Direct Hire - Remote]
Legal.io
People also viewed
-
Legal Analyst, Litigation
Legal Analyst, Litigation
-
Legal Counsel
Legal Counsel
-
Legal Analyst
Legal Analyst
-
Contract Analyst
Contract Analyst
-
Contract Analyst
Contract Analyst
Looking for a job?
Visit the Career Advice Hub to see tips on interviewing and resume writing.
View Career Advice Hub