Director- Regulatory Compliance

Rockville, MD
May 18, 2017
May 22, 2017
Executive, Director
Full Time
Nasdaq Position Overview:Nasdaq Compliance and Regulatory Program Manager - Performs a variety of specific duties generally including applying advanced analytical skills to support Nasdaq's compliance with broker dealer rules and Federal securities laws. Role will support Nasdaq's registered broker dealers as well as Nasdaq's equities and options exchanges (Nasdaq, PHLX, BX, NFX, ISE). Successful applicant will be familiar with applicable rules, and regulations. Draft and maintain written supervisory procedures for Nasdaq's broker dealers. Provide appropriate real-time support, advice, and training to the relevant front office and infrastructure personnel with respect to broker-dealer compliance.Review, interpret and assess regulatory impact related to proposed and new SEC, SRO and AML rules. Potential to serve as chief compliance officer of one or more broker. Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews in relation to assigned business areas. Advise front-office personnel with respect to licensing requirements, supervision, and other related compliance issues. Support Enforcement counsel prosecuting infractions of Nasdaq rules by:Researching and interpreting rules, regulations, statutes, and decisions of regulatory and quasi-judicial bodies. Gathering and analyzing evidence to formulate cases or to initiate disciplinary action. Drafting memoranda summarizing investigative results and recommending whether to take further action. Reviewing and approving regulatory memorandums prepared by third party regulatory service providers utilized by Nasdaq.Lead regulatory, surveillance and compliance projects for a variety of situations and projects applicable to regulatory issues.Education, Professional accomplishments, and Certifications: Please note this role requires an active Series 7 license and a minimum three years of experience with broker-dealer compliance.Experience drafting written supervisory procedures required.Prior experience as chief compliance officer of broker dealer would be plus.Law degree preferred.Excellent interpersonal skills.