Nasdaq · 5 hours ago
Senior Regulatory Compliance Analyst
USA - Philadelphia - Pennsylvania
Full-time
Hybrid
Mid, Senior Level
1+ years expNasdaq is a leading global technology company serving the capital markets and other industries. The Senior Regulatory Compliance Analyst will monitor market activity, ensure regulatory compliance, and maintain fair and orderly markets for investors and participants.
FinanceFinancial ServicesStock ExchangesTrading Platform
Responsibilities
Monitor real-time trading activity across securities markets to identify anomalies and ensure compliance with trading rules
Research material news and regulatory filings to assess impact on listed companies and recommend trading halts when appropriate
Analyze trading patterns and alert dispositions to detect potentially volatile or non-compliant activity
Complete regulatory referrals and provide clear summaries of trends and findings to leadership and market regulation entities
Partner with market participants, listed companies, and internal stakeholders to gather information and support investigations
Qualification
Required
Bachelor's degree in Business, Finance, or related field, or equivalent practical experience
1–3 years of experience in regulatory compliance, market surveillance, or financial services
Strong analytical and research skills with the ability to synthesize information from multiple sources
Clear communicator with experience working in collaborative, time-sensitive environments
Proficiency in tools such as Excel and experience navigating regulatory databases and newswires
Preferred
Experience in capital markets, securities regulation, or exchange operations
Familiarity with FINRA, SEC, or other regulatory frameworks
Exposure to real-time market surveillance systems and trading technologies
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 and 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
2026-01-25
South China Morning Post
2026-01-25
2026-01-23
Company data provided by crunchbase