Senior Level Compliance Associate Jobs

Attorney responsible for supporting corporate ethics and compliance program including program structuring, regulatory monitoring, anti-financial crime program, ethics program, diligence and integration of acquisitions, and incident investigation and response

We are seeking a creative and adaptable attorney with enterprise-wide corporate compliance experience in global technology organization to help lead Nasdaq’s ethics and compliance program. Reporting to the Chief Compliance Officer, this role will involve a diverse range of activities including –

• Coordinating with others in the Ethics and Compliance Team and other functions to maintain and continuously improve Nasdaq’s compliance programs in alignment with established practices and standards such those reflected in the Department of Justice Evaluation of Corporate Compliance Programs and OFAC Compliance Framework
• Managing the Nasdaq’s regulatory change management processes for its global technology and information services business lines, engaging with other teams within the Legal, Regulatory and Risk Department on implementing regulatory changes in a coordinated manner. Assessing proposed regulations for their impact on Nasdaq to inform engagement by Nasdaq in the regulatory development process
• Collaborating with Risk Management and other second line functions to integrate compliance into the company’s risk management frameworks; serving as primary legal advisor to Risk Management on its initiatives
• Representing compliance on company-wide initiatives and working groups, leading legal-related workstreams and providing legal analysis and support
• Providing legal advice and support to Nasdaq Ethics and Global Compliance operational teams
• Maintaining Nasdaq’s Code of Ethics and supporting compliance policies including annual and ad hoc update processes; supporting annual and ad hoc training on policies
• Partnering with the Chief Compliance Officer to managing Nasdaq’s new location-based Ethics and Compliance Representative Program
• Developing performance measures for reporting on program execution for executive committees and the board
• Participating in the due diligence of prospective acquisitions and leading workstreams for acquisition integration
• Providing legal support as needed to address incidents, ad hoc requests or surge needs

The ideal candidate will bring –

• At least 8 years of practice as an attorney with a broad range of experience across different subject matter areas – while experience in all of the following is not required, it is expected that a candidate will have addressed a number of the following areas in their career: compliance program structuring, technology regulation (other than privacy), sanctions/export control, anti-corruption, corporate ethics (e.g., conflicts of interest, insider trading, outside activities), and/or incident response/crisis management. Also desirable is experience in commercial contracting or serving as the legal advisor for a revenue-generating business unit.
• An excitement to addressing novel legal issues and providing actionable, practical advice to the business in the face of new or ambiguous legal requirements
• Experience managing complex and longer-term projects involving change management with multiple stakeholders
• Excellent interpersonal and communication skills including the ability to effectively convey complex content to an executive audience
• A collaborative approach to working across functions to achieve outcomes
• Experience leverage AI, automation and other technology tools to facilitate and accelerate analysis, decision making and reporting
• JD from accredited US law school and admission to practice law in at least one US state or District of Columbia

Come as You Are

Nasdaq is an equal opportunity employer. We welcome applications from candidates of all backgrounds and identities.

We are committed to fostering an inclusive workplace where diverse perspectives, experiences, and identities are valued and celebrated.

We ensure that individuals with disabilities are provided with reasonable accommodation throughout the hiring process.

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 $134,000 - $248,000. 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.