Nasdaq · 2 months ago
Compliance & Operations Specialist
USA - Philadelphia - Pennsylvania
Full-time
Hybrid
Entry, Mid Level
2+ years expNasdaq is seeking a detail-oriented Compliance and Operations Specialist to join their team. This role is critical for maintaining operational integrity and mitigating regulatory risks, involving customer order tracking, vendor coordination, and collaboration across teams to ensure service delivery within established SLAs.
FinanceFinancial ServicesStock ExchangesTrading Platform
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
Qualification
Required
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
Preferred
Certifications Certified Internal Auditor (CIA), Certified Information Systems Auditor (CIA), Certified Fraud Examiner (CFE), Certified Compliance & Ethics Professional (CCEP)
Exposure to SEC regulatory processes including rule filings for facilities of the exchange
Experience with process improvement and optimization
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
Paid flex days to support mental wellbeing
Gym membership discounts
Hybrid home/office schedule (for most positions)
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
Company
Nasdaq
Nasdaq is a global provider of trading, clearing, exchange technology, listing, information, and public company services.
1001-5000 employees
H1B Sponsorship
Nasdaq has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (21)
2024 (9)
2023 (7)
2022 (15)
2021 (19)
2020 (13)
Funding
Current Stage
Public CompanyTotal Funding
$9.52BKey Investors
Matzliach Capital
2024-07-29Post Ipo Secondary· $2.72B
2024-03-19Post Ipo Secondary· $1.8B
2023-06-22Post Ipo Debt· $5B
Leadership Team
Adena Friedman
Chair and Chief Executive Officer
Bradley Peterson
EVP & CIO/CTO
Recent News
2026-01-11
2026-01-11
Company data provided by crunchbase