Compliance & Operations Specialist at Nasdaq

Philadelphia, Pennsylvania, United States

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Not SpecifiedCompensation

Junior (1 to 2 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial ServicesIndustries

Requirements

Bachelor's degree in Business Administration, Compliance, legal, or related field
2-3 years of experience in compliance, regulatory, audit, customer operations, order management, or similar role
Familiarity with industry-specific regulations – SOX, GDPR, SEC, FINRA
Excellent communication skills, both written and verbal
Detail-oriented with strong analytical and problem-solving abilities

Responsibilities

Monitor and audit operations to ensure adherence to regulatory requirements and internal policies
Identify and mitigate compliance risks through proactive measures and process improvements
Prepare and deliver compliance reports and updates to management regularly
Support client communications and order tracking to maintain transparency and SLA compliance
Coordinate cross-functional teams to ensure seamless service delivery and documentation accuracy

Skills

SOX

GDPR

SEC

FINRA

audit

order management

customer operations

process improvement

compliance reporting

SLA management

analytical skills

Nasdaq

Operates electronic stock exchange and financial services

About Nasdaq

Nasdaq operates one of the largest electronic stock exchanges in the world, providing a platform for buying and selling securities. It caters to a wide range of clients, including individual and institutional investors, as well as corporations. Nasdaq offers various financial products and services, such as the Nasdaq Smart Portfolio, which uses advanced analytics to help investors optimize their stock portfolios. Additionally, Nasdaq supports non-financial marketplaces and is recognized for its efforts in sustainable investment practices. The company earns revenue through transaction and listing fees, along with subscription services for its products. Nasdaq aims for global expansion and innovation, with nearly 40 offices around the world.

New York City, New YorkHeadquarters

1971Year Founded

$9,370.5MTotal Funding

IPOCompany Stage

Data & Analytics, Fintech, Financial ServicesIndustries

5,001-10,000Employees

Risks

Adenza acquisition's high price may affect shareholder confidence and stock performance.

Integration of Metrio's ESG software may face challenges, delaying expected benefits.

Nasdaq's secondary stock offering could lead to stock dilution, affecting shareholder value.

Differentiation

Nasdaq operates one of the world's largest electronic stock exchanges.

Nasdaq offers advanced analytics through its Smart Portfolio for investment optimization.

Nasdaq is a pioneer in sustainable investment practices with a focus on ESG solutions.

Upsides

Nasdaq's acquisition of Adenza expands its financial technology capabilities.

Nasdaq's secondary stock offering could provide capital for strategic investments.

Nasdaq Private Market's Series B financing indicates strong investor confidence.

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