Regulatory Compliance Analyst
Job Summary
Job Description
Nasdaq’s Listing Qualifications Group is seeking a Regulatory Compliance Analyst to protect investors and market integrity by ensuring listed companies meet Nasdaq’s rigorous listing standards. The role involves analyzing listing applications, scrutinizing backgrounds of key personnel, coordinating with regulators like SEC and FINRA, and providing guidance on listing standards. Responsibilities include reviewing SEC filings, acting as a primary regulatory contact, and assisting with interpretation requests. The ideal candidate is a problem solver with strong analytical skills, able to work effectively in a team.
Must have:
- Analyze listing applications and related material.
- Scrutinize regulatory and criminal backgrounds of key personnel.
- Coordinate with regulators such as SEC and FINRA.
- Provide guidance on listing standards to companies and advisors.
- Work on important initiatives and special projects.
- Review periodic SEC filings and public information.
- Act as primary regulatory contact for new listings.
- Complete regulatory referrals to other bodies.
- Assist with interpretation requests from stakeholders.
- Undergraduate or graduate degree in Business/Finance/Accounting/Law or related discipline.
- Excellent written and communication skills.
- Ability to read and understand financial statements.
- Familiarity with SEC filings.
- 1 to 3 years of experience.
Good to have:
- Problem solver
- Ability to work effectively in a team environment
Perks:
- 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
- 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
3 skills required
Job Details
Nasdaq’s Listing Qualifications Group’s mission is to protect investors and market integrity by ensuring that listed companies meet the Nasdaq Stock Market’s rigorous listing standards. We are looking for an exceptional regulatory analyst to join our experienced team of regulatory experts. Our ideal candidate is able to analyze financial statements, identify issues and areas of concern, is a problem solver, likes new challenges and can work effectively in a team environment. In this role, you will be part of a team of 200+ legal, compliance, surveillance and regulatory professionals located in the U.S. and Europe.
The analyst will support the Listing Qualifications department in the following activities:
- Analyzing listing applications and related material to determine if a company should be listed on Nasdaq
- Scrutinizing regulatory and criminal backgrounds of CEOs, CFOs, directors, and large shareholders
- Coordinating with regulators such as the SEC and FINRA
- Providing guidance on listing standards to companies and their advisors, as well as other groups within Nasdaq
- Working on important initiatives and special projects, such as developing new listing rules and implementing new technologies to help us work more efficiently
Responsibilities
- Review periodic SEC filings and other public information in a timely and thorough manner to ensure the quantitative and qualitative requirements for listing on The Nasdaq Stock Market.
- Act as the primary regulatory contact on qualifications issues for new listings, answering questions concerning all Nasdaq Stock Market quantitative, qualitative and corporate governance listing standards.
- Complete regulatory referrals to other regulatory bodies.
- Assist with interpretation requests from internal and external stakeholders.
- Participate in additional projects and tasks as required.
Requirements
- Undergraduate or graduate degree in Business/Finance/Accounting/Law or related discipline
- Excellent written and communication skills
- Ability to read and understand financial statements
- Familiarity with SEC filings
- Experience Required: 1 to 3 years
This position offers the opportunity for a hybrid work environment (2 days a week in office), providing flexibility and accessibility for qualified candidates
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About The Company
At Nasdaq, we’re proud to be the engine behind the world’s capital markets. But we don’t stop there. We build the technology that drives transparency, trust, and access—helping economies grow and people thrive. Our purpose is to advance economic progress for all. Whether you’re a client, a colleague, or part of our broader community, we’re here to move markets—andpossibilities—forward.
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