The regulatory group is responsible for monitoring and investigating potentially problematic occurrences in our securities markets. The group includes staff that detects and investigates potential violations of securities laws, monitors and test exchange trading systems, conducts oversight of external entities that provide regulatory services for Nasdaq OMX, and bring sanctions against members for violations of rules.
Typical Job Functions:
Design and review of equity surveillance patterns to monitor Nasdaq OMX’s three U.S. equities markets. Conduct investigations of potentially problematic activity, including written correspondence with member firms. Work on regulatory projects involving equity and possibly options surveillance initiatives. Assist with creation and changes to rules and written policies and procedures manuals. Lead special projects working with regulatory technology and other regulatory staff.
Significant equity surveillance and/or trading experience. Prefer a candidate with a law degree or other relevant advanced training. Knowledge of SMARTS is a plus.
This is a regular full time position located in either Philadelphia, PA. 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.