Chief Compliance Officer- Broker-Dealer - New York


: $163,905.00 - $163,905.00 /year *

Employment Type

: Full-Time


: Financial Services - Banking/Investment/Finance

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New York, NY

Who we are

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 they need to chart a career of achievement, growth and endless possibilities.
Our People Lead with Integrity, take ownership, strive to fuel client success, consistently deliver value and collaborate to play as a team to innovate at the highest level

The Team

Nasdaq?s broker-dealer unit operates several brokers that facilitate transactions in US Treasury securities and private company equity securities and that support routing operations of the Nasdaq Stock Market. The unit also supervises surveillance of alternative trading platforms that Nasdaq operates for independent broker-dealers.

A typical day will include

  • Administering all aspects of a compliance program for several broker-dealers.
  • Managing policies and procedures.
  • Developing and integrating strategies to address situations potentially violating market rules and compliance or regulatory frameworks.
  • Executing investigative techniques and ensuring adherence to relevant market rules and regulations.
  • Conducting risk assessments and proposing/implementing risk mitigation measures in defined subject matter areas.
  • Advising management and employees with regard to compliance obligations.
  • Interacting with the Securities and Exchange Commission and FINRA on compliance issues, including examinations.
  • Providing leadership and direction through team members.
  • Executing the organizational strategy set by top management, clarifying expectations for team members.
  • Interacting regularly with senior management to communicate and provide reports on team performance.
  • Coordinating efforts related to audits, reviews, and examinations.
  • Independently investigating and acting on matters related to compliance.
  • Guiding and influencing special projects working with regulatory technology and other regulatory staff.
  • Establishing remediation processes for identified compliance and/or regulatory issues.
  • Developing and administering a compliance training program for personnel.
  • Working in collaboration with the Office of General Counsel, the Office of Corporate Secretary, Internal Audit, Group Risk Management, Human Resources and others to strengthen compliance programs.
  • Advising the business on changes in law or regulations on compliance matters that may impact the business.?
  • Motivating, developing, recruiting, and retaining employees while rewarding and cultivating a culture of high-performance teams covering equities, FICC, and private markets and investment advisory services.
  • You will need to demonstrate

  • Substantive knowledge of equities and fixed income markets, ideally with compliance experience supporting one or more of the following: private placements, alternative investments, alternative trading systems, US Treasury securities, and TRACE reporting.
  • Ability to act as a subject matter expert, including in the assessment of current and emerging risks and identifying and implementing risk mitigation opportunities.
  • Experience developing, implementing, and maintaining broker-dealer policies, procedures, and infrastructure.
  • Ability to advise on applicable legal standards with respect to best practices in broker-dealer compliance, track regulatory developments affecting compliance, and recommend and help implement changes or adjustments.
  • Demonstrated ability to work both independently and as part of project teams.
  • Ability to work and thrive in a fast-paced legal and business culture.
  • Excellent written and verbal communication skills and a fine attention to detail.
  • A high level of professionalism and outstanding business judgment.
  • Bachelor?s degree required; master?s degree or JD preferred.
  • At least 10 years? experience with world-class financial industry compliance programs.
  • Series 7 and Series 24 licensure.
  • 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.

    Associated topics: bond, broker dealer, brokerage, capital, fund, invest, nasdaq, risk, securities broker, sell * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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