Senior Regulatory Compliance Analyst Position Available In Philadelphia, Pennsylvania

Provides legal guidance and counsel related to securities and banking regulatory matters. Staff maintains relationships with regulatory bodies and agencies and has significant expertise in industry regulatory matters. Researches newswires for material news affecting listed companies and for potential trading halts. Completes regulatory referrals as appropriate to market regulation entity. Analyzes trading activity for market participant compliance with relevant trading rules and regulatory compliance, providing summaries and trends to supervisor and/or team. Analyzes disposition of real-time alerts for indications of potentially volatile activity by compiling and organizing information from a variety of sources including, internal data and phone interviews with market participants, listed companies and others. Conducts real-time surveillance of activity on the company’s securities markets to maintain an orderly marketplace and level playing field for investors, market participants and listed companies, providing anomalies to supervisor. Researches regulatory filings, other disclosures and trading information to ensure compliance with relevant standards.

Education Required:

Degree in Business/Finance or related discipline

Experience Required:

At least 3 years Come as You Are Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation. What We Offer We’re proud to offer a competitive rewards package that is meaningful, recognizes the unique needs of our employees and their families and incentivizes employees for their contribution to Nasdaq’s overall success. In addition to base salary, Nasdaq offers significant other compensation (annual bonus/commissions and equity), benefits, and opportunity for growth. Exact compensation may vary based on several job-related factors that are unique to each candidate, including but not limited to: skill set, experience, education/training, business needs and market demands. Nasdaq’s programs and rewards are intended to allow our employees to:

Secure Wealth:

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

Prioritize Health:

Comprehensive medical, dental and vision coverage, Health spending account with employer contribution, Paid flex days to support mental wellbeing, Gym membership discounts Care for

Family:

Hybrid home/office schedule (for most positions), Paid parental leave, Fertility benefits, Paid bereavement leave Connect with

Community:

Company gift matching program, Employee resource groups, Paid volunteer days

Grow Career:

Education Assistance Program, Robust job skills training and Professional development opportunities For more information, visit Nasdaq Benefits & Rewards Career page. 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—and possibilities—forward. Join our Talent Community to stay in the loop on upcoming roles, events, and new opportunities across Nasdaq. Our hybrid work model, NasdaqBlend, gives you flexibility to do your best work—whether that’s from home, in the office, or a mix of both. Check the job listing or reach out to our team for role-specific details. We’re a global team of over 8,500 innovators across 38 countries, united by a shared purpose: advancing economic progress for all. It’s not just what we do—it’s how we do it, together. Want a deeper look into our culture? Explore our Culture Book. We support your success through You&Q, our total rewards program that covers every dimension of life—from building wealth and growing your career to prioritizing well-being and family care. Join the Team Advancing Economic Progress for All.