Senior Regulatory Compliance Analyst
Nasdaq
full-time
Posted on:
Location Type: Hybrid
Location: Philadelphia • Pennsylvania • Washington • United States
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Job Level
About the role
- 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.
Requirements
- Bachelor's degree in Business, Finance, or related field, or equivalent practical experience.
- 1–3 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 tools such as Excel and experience navigating regulatory databases and newswires.
- Experience in capital markets, securities regulation, or exchange operations (preferred).
- Familiarity with FINRA, SEC, or other regulatory frameworks (preferred).
- Exposure to real-time market surveillance systems and trading technologies (preferred).
Benefits
- 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
- Comprehensive medical, dental and vision coverage
- Health spending account with employer contribution
- Paid flex days to support mental wellbeing
- Gym membership discounts
- Hybrid home/office schedule (for most positions)
- Paid parental leave
- Fertility benefits
- Paid bereavement leave
- Company gift matching program
- Employee resource groups
- Paid volunteer days
- Education Assistance Program
- Robust job skills training and Professional development opportunities
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
regulatory compliancemarket surveillancefinancial servicesanalytical skillsresearch skillstrading patterns analysisregulatory referralstrading technologiescapital marketssecurities regulation
Soft Skills
clear communicatorcollaborativetime-sensitive environmentsynthesize information