Description of Group:|
The Nasdaq Listing Qualifications Department is responsible for maintaining the quality and integrity of The Nasdaq Stock Market by enforcing the continued listing standards and through the fair and consistent application of the Marketplace Rules in conjunction with monitoring the ongoing compliance of listed issuers.
Typical Job Functions:
Act as primary regulatory contact on qualifications issues for an assigned group of Nasdaq listed companies, answering questions concerning all Nasdaq Stock Market quantitative and qualitative continued listing standards.
Review periodic SEC filings by assigned issuers in a timely and thorough manner to ensure their compliance with the quantitative and qualitative requirements for continued listing. Review and track status of issuer's compliance with corporate governance criteria, including required certifications. Identify unusual issues, including questionable transactions disclosed in issuer filings, which raise potential public interest concerns; consult with manager and Listing Investigations to bring such issues and concerns to an appropriate resolution. Document concerns and make necessary referrals to other regulatory entities in accordance with Department procedures.
Review and analyze phase-up and phase-down applications and listing of secondary securities, and communicate with issuers and their counsel regarding the status of such reviews and the basis for Staff's determination.
Identify non-compliant issuers and communicate notice of deficiency to companies. Evaluate proposed plans of compliance and recommend approval/rejection to manager. Prepare memoranda to Nasdaq Qualifications Hearings Panel for companies appealing delisting determinations.
Review and process corporate governance interpretation requests submitted by issuers and draft response letter.
Participate in project task forces or committees and assume responsibility for additional projects and tasks as assigned.
An undergraduate degree in business, accounting, finance, economics or related field and 2+ years of practical, analytical and securities related, financial investigative or other relevant business experience. CPA, CFA, MBA or equivalent advanced certification is strongly preferred.
Basic knowledge of accounting, financial statement analysis and/or the securities or regulatory industry. Excellent oral and written communication skills, with proven ability to communicate effectively. Ability to perform effectively in a pressured, multi-tasked, time-sensitive environment and must be able to work effectively with different constituent groups in and out of the organization. Basic proficiency with the use of a wide variety of PC business applications including word processing, database and spreadsheet software.
This is a regular full time position located in Rockville, MD. Desired start date is as soon as possible. As the selection and interview process is ongoing, please submit your application as soon as possible.
The NASDAQ OMX is an equal opportunity employer. Applicants and employees are treated without regard to race, color, religion, creed, gender, national origin, age, disability, marital or veteran status, sexual orientation, or any other legally protected status.
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- 22 months ago - save job