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