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Related keywords
- Regulatory Compliance Engineer
- Manager Regulatory Compliance
- Regulatory Compliance Specialist
- Regulatory Compliance Manager
- Regulatory Compliance Analyst
- Regulatory Complaints Compliance Analyst
- Regulatory Compliance Associate
- Regulatory Compliance Coordinator
- Regulatory Consumer Compliance
- Regulatory Compliance Business Analyst It
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Regulatory Compliance Analyst Jobs
Company | Nasdaq |
Address | Rockville, MD, United States |
Employment type | FULL_TIME |
Salary | |
Category | Financial Services |
Expires | 2023-07-18 |
Posted at | 11 months ago |
Who we are:
- Scrutinizing regulatory and criminal backgrounds of CEOs, CFOs, directors, and large shareholders
- Providing guidance on listing standards to companies and their advisors, as well as other groups within Nasdaq
- Working on important initiatives and special projects, such as developing new listing rules and implementing new technologies to help us work more efficiently
- Analyzing listing applications and related material to determine if a company should be listed on Nasdaq
- Coordinating with regulators such as the SEC and FINRA
- Complete regulatory referrals to other regulatory bodies.
- Review periodic SEC filings and other public information in a timely and thorough manner to ensure the quantitative and qualitative requirements for listing on The Nasdaq Stock Market.
- Participate in additional projects and tasks as required.
- Act as the primary regulatory contact on qualifications issues for new listings, answering questions concerning all Nasdaq Stock Market quantitative, qualitative and corporate governance listing standards.
- Assist with interpretation requests from internal and external stakeholders.
- Ability to read and understand financial statements
- Excellent written and communication skills
- Undergraduate or graduate degree in Business/Finance/Accounting/Law or related discipline
- Experience Required: 1 to 3 years
- Familiarity with SEC filings
- Connect with Community: Company gift matching program, Employee resource groups, Paid volunteer days
- 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
- Grow Career: Education Assistance Program, Robust job skills training and Professional development opportunities
- 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
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