Enforcement Counsel

by

Company:  Nasdaq

Industry:- Private

Employment Type:- Full-time

Work Hours:-  8 Hours

Locations:- USA

Full Job Description:

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.

Our Team:

The Nasdaq Investigations and Enforcement Team is part of Nasdaq Regulation. Our mission is to protect investors and market integrity by investigating instances of possible misconduct and enforcing the rules of Nasdaq’s three equities markets, six options markets, and the federal securities laws. Nasdaq’s I&E Team focuses on the regulation of Nasdaq member firms and associated persons.

Your role and responsibilities

  • Commit to our core investor protection mission by investigating potential violations of exchange and SEC rules and taking enforcement action when the facts warrant it.
  • 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

Other Jobs You May Be Interested In

  • 4+ years working as a securities enforcement and/or litigation attorney at a financial industry regulator 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?    Please follow through by clicking the “Apply” link and submitting your application.  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.

Enforcement Counsel


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