Key skills
AILeadershipChange ManagementCommunicationProblem SolvingPresentation Skills
About this role
Role Overview
- 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
Requirements
- 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
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
- Professional development opportunities