What are the responsibilities and job description for the Enforcement Counsel position at NASDAQ?
Our Team:
This is a unique opportunity to join a growing team of enforcement attorneys, litigators, regulators, data scientists, and PhDs, all of whom are laser-focused on protecting investors and the market. The Nasdaq Investigations and Enforcement Team is part of Nasdaq Regulation. Similar to the SEC and FINRA, our mission is to protect investors and market integrity by investigating potential market misconduct and bringing regulatory actions against member firms and associated persons who may have violated Nasdaq rules and the federal securities laws.
Company Overview:
You may think of Nasdaq as just a stock exchange but think again. With more than 6,000 associates in 39 offices around the world, we're a global technology company that serves customers in more than 50 countries. Since 1971, when Nasdaq created the world's first electronic exchange, our innovations have revolutionized the global capital markets. With Nasdaq, you will contribute to a more sustainable world, helping communities, clients, employees, and individuals of all backgrounds to achieve their full potential.
Since 1971, when Nasdaq created the world’s first electronic exchange, our innovations have revolutionized the global capital markets. Join us and help advance economic progress for all.
We're committed to diversity and equity, and we actively seek out people from different backgrounds, skills, and perspectives.
This is a unique opportunity to join a growing team of enforcement attorneys, litigators, regulators, data scientists, and PhDs, all of whom are laser-focused on protecting investors and the market. The Nasdaq Investigations and Enforcement Team is part of Nasdaq Regulation. Similar to the SEC and FINRA, our mission is to protect investors and market integrity by investigating potential market misconduct and bringing regulatory actions against member firms and associated persons who may have violated Nasdaq rules and the federal securities laws.
Company Overview:
You may think of Nasdaq as just a stock exchange but think again. With more than 6,000 associates in 39 offices around the world, we're a global technology company that serves customers in more than 50 countries. Since 1971, when Nasdaq created the world's first electronic exchange, our innovations have revolutionized the global capital markets. With Nasdaq, you will contribute to a more sustainable world, helping communities, clients, employees, and individuals of all backgrounds to achieve their full potential.
Since 1971, when Nasdaq created the world’s first electronic exchange, our innovations have revolutionized the global capital markets. Join us and help advance economic progress for all.
We're committed to diversity and equity, and we actively seek out people from different backgrounds, skills, and perspectives.
Your role and responsibilities
- Responsible for investigating and prosecuting settled and litigated actions against exchange members for violations of exchange rules and applicable federal securities laws in connection with trading on the Nasdaq equities and options exchanges.
- Collaborate closely with Nasdaq enforcement team members to plan and conduct investigations and develop the factual record.
- Plan for and conduct effective on-the-record testimony of witnesses
- Research and understand the legal requirements for charges and sanctions.
- Recommend fair and meaningful outcomes, accurately assessing the evidence and applying a well-reasoned legal framework to support case resolution.
- Develop and implement settlement strategy and advance settlement negotiations with member firms and associated persons.
- Draft clear and organized settlement documents including reasoned analysis of applicable rules, case precedent and recommended sanctions.
- Collaborate effectively with managers and incorporate feedback into planning, documents and execution.
- Collaborate effectively with other Nasdaq departments including options and equities surveillance teams, with self-regulatory organizations such as FINRA, and with the SEC.
- Other tasks that may arise from time to time.
You will need the following skills and experience
- 4 years working as a securities enforcement and/or litigation attorney at a financial industry regulator, prosecutor, in-house, and/or top law firm
- Knowledge of securities regulation and the rules that govern equities and options markets
- Demonstrated ability to work independently with minimal guidance and as a part of a high performing team.
- Excellent communication skills and academic credentials, including a J.D. from an accredited law school.
And it would be great if you have experience with
- Proficiency in e-discovery tools and databases
- Equities or options trading industry experience
Sounds like you? “” link and If your skills and experience are a match, we will be in touch soon, and in the meantime please visit our website and social media channels to learn more about our innovative business, inclusive culture and where a career at Nasdaq can take you.
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.
The base pay range for this role is $148,000 - $225,000. In addition to base salary, Nasdaq provides a generous annual bonus/commission (short-term incentive), and equity (long-term incentive), comprehensive 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
.Salary : $148,000 - $225,000
