Compliance & Operations Specialist
We are seeking a detail-oriented Compliance and Operations Specialist to join our team at Nasdaq. This role is critical to maintaining the integrity of operations and mitigating regulatory risk across the business. The successful candidate will serve as the primary point of contact for customer order tracking, vendor coordination, and internal team collaboration to deliver services within established SLAs.
Key Responsibilities
Monitor and audit operations to ensure adherence to regulatory requirements and internal policies.
Identify and mitigate compliance risks through proactive measures and process improvements.
Prepare and deliver compliance reports and updates to management regularly.
Support client communications and order tracking to maintain transparency and SLA compliance.
Coordinate cross-functional teams to ensure seamless service delivery and documentation accuracy
Required Qualifications
Bachelor's degree in Business Administration, Compliance, legal, or related field
2-3 years of experience in compliance, regulatory, audit, customer operations, order management, or similar role
Familiarity with industry-specific regulations – SOX, GDPR, SEC, FINRA
Excellent communication skills, both written and verbal
Detail-oriented with strong analytical and problem-solving abilities
Preferred Qualifications
Certifications Certified Internal Auditor (CIA), Certified Information Systems Auditor (CIA), Certified Fraud Examiner (CFE), Certified Compliance & Ethics Professional (CCEP)
Exposure to SEC regulatory processes including rule filings for facilities of the exchange
Experience with process improvement and optimization
This position will be located in Philadelphia, and offers the opportunity for a hybrid work environment at least 3 days a week in office, subject to change, providing flexibility and accessibility for qualified candidates.
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:
For more information, visit Nasdaq Benefits & Rewards Career page.