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VP, Deputy General Counsel, Head of Listing Qualifications

Company: Nasdaq, Inc.
Location: Rockville
Posted on: February 25, 2021

Job Description:

If you are a qualified individual with a disability and need a reasonable accommodation for any part of the application and hiring process, please contact us at . VP, Deputy General Counsel, Head of Listing Qualifications MD - Rockville, Maryland At Nasdaq, we are relentlessly reimagining the world of tomorrow - one that is built on innovative technology, fueled by market-moving insights and driven by forward thinking. We provide our employees with the resources and opportunities needed to launch a career of achievement, growth and boundless possibilities.

We are looking for an exceptional and inspirational senior leader to guide our experienced team of regulatory analysts in Nasdaq's Listing Qualifications Group. The Listing Qualification Group's mission is to protect investors and market integrity by ensuring that listed companies meet the Nasdaq Stock Market's rigorous listing standards. Our ideal candidate has expertise in securities laws, capital markets and exchange listing rules, has significant management and operational experience and is an effective leader and problem solver. J.D strongly preferred; will consider other credentials, i.e., accounting background, MBA. Significant team management experience is required. The Listing Qualifications team is part of a team of 200+ legal, compliance, surveillance and regulatory professionals located in the U.S. and Europe. This position reports to Nasdaq's Chief Legal & Regulatory Officer.Your role and responsibilities:

  • Drive strategic direction of listings regulatory program and create vision for and manage changes to Nasdaq Stock Market's listing standards.
  • Lead and motivate a team of regulatory analysts responsible for reviewing listing applications and monitoring companies and ETPs for compliance with the listing rules
  • Advise on securities laws and listing rules
  • Ensure that regulatory policies and procedures are followed, maintained and updated
  • Promote enhancements to the regulatory program that further investor protection and the fair and consistent application of listing rules
  • Oversee regulatory process for companies that fall out of compliance with listing rules
  • Coordinate with other regulatory bodies including FINRA and the SEC
  • Direct decisions on when to halt trading in securities
  • Build strong relationships with internal and external parties
  • Report on regulatory program and risk mitigation to regulatory oversight committee of the Nasdaq Stock Market board of directors and other internal risk and compliance committees
  • Advise on policy matters that are important to capital formation and support Nasdaq's listed companies
  • Reimagine and expand the use of technology to improve the efficiency of the regulatory programWe expect you to have:
    • Juris Doctor, strongly preferred; M.B.A. or other professional credentials with excellent academic record will also be considered
    • Deep knowledge of the capital markets, corporate and securities law and/or exchange listing rules
    • Significant leadership and management experience, ideally of an operational or regulatory team
    • Executive presence, combined with an ability to constructively push back on senior executives when necessary
    • Excellent written, communication, interpersonal and presentation skills
    • Strong analytical skills and creative problem solving abilities
    • Demonstrated commitment to investor protection such as through work for regulatory programs, investigations, compliance, risk mitigation or enforcement
    • Ability to build relationships and consensus
    • Skill in leveraging technology to improve processes and experience with change management
    • 10 to 15 years' experience 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. Posted 2 Days Ago Full time R0007178 About Us Nasdaq (Nasdaq: NDAQ) is a global technology company serving the capital markets and other industries. Our diverse offering of data, analytics, software and services enables clients to optimize and execute their business vision with confidence. To learn more about the company, technology solutions and career opportunities, visit us on LinkedIn , on Twitter @Nasdaq , or at . Nasdaq is a technology company, rewriting the future of global economies and markets by unlocking capital and opportunities through our technology, innovation, and expertise. With industry-shaping insights, unrivaled intel, and cutting-edge financial technology at our fingertips, we don't chase the opportunities of tomorrow - we create them.

Keywords: Nasdaq, Inc., Rockville , VP, Deputy General Counsel, Head of Listing Qualifications, Legal , Rockville, Maryland

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