Senior Regulatory Compliance for NASDAQ

Senior Regulatory Compliance for NASDAQ




Why Nasdaq


When you work at Nasdaq, you're working for more open and transparent markets so that more people can access opportunities. Connections can be made, jobs can be created, and communities thrive. We want all our employees to have access to opportunities, too. That means planning for career growth, ensuring you have the tools you need, and promoting an inclusive culture where we're all valued for our unique perspectives.


Here, you will work for a global tech leader committed to breaking down barriers to inclusive prosperity. We see technology as a means to free people up to work together more productively and effectively by centralizing data, analytics, and market intelligence.


Here, we're committed to building a more diverse and inclusive workforce. Not only is it our responsibility to do better, but we also need representative voices to power the fresh thinking that is vital for our business and our clients.


With this position we, offer you


We are looking for a Senior Legal Counsel to join the Investigations & Enforcement Team, within the Market Surveillance function, in Stockholm.


The Surveillance organization monitors issuers and trading participants compliance with the Exchange rules and other relevant regulations. As a regulatory function is responsible for enforcement, we must possess excellent knowledge and understanding about the regulations and related practices that apply to listed companies and always act with the highest level of integrity. Our fundamental objective is to ensure investor protection and maintain the markets confidence in Nasdaq, our markets and the securities market.


You will be part of the Investigations & Enforcement team, which supervises the issuers' ongoing compliance naturally focused on the disclosure obligations particularly disclosure of inside information according to the Market Abuse Regulation, the Corporate Governance Code, good practice and takeover rules. We are frequently engaged in rule development projects internally and externally and as speakers in different forums. In addition, we regularly arrange seminars in Exchange Rules for board members and executives of listed companies.


What You Will Do


As a Legal Counsel in the team, you will engage in all our duties, specifically in legal matters such as investigations regarding suspected violations of the rules and preparing issues for referral to Nasdaq Stockholm's Disciplinary Committee.
You will engage in seminars arranged by Nasdaq and the dialogue with issuers and advisors that seek our guidance on regulatory matters.


What We Expect


To thrive in this role, besides having a genuine interest in the financial markets and sharing our view that an efficient regulation is a cornerstone of well-functioning markets, we believe that you have:


An LL.M. (Master of Laws)
Approximately six years of professional experience, preferably within the securities market area
Experience in performing judicial enquiry
Experience in providing regulatory guidance
Excellent communication skills
Proficiency in the Swedish and English language, both written and speaking
Ability to work independently and efficiently in an open and service-minded manner
A self-motivated and results-oriented mindset


What Would Be Helpful


Experience from a law firm
Experience from the judiciary
Experience from public speaking
Experience from listed companies


At Nasdaq, we strive to challenge the status quo and always look for new ways to do things to improve and exceed the collective goals of our teams, company, and customers. A strong inner drive and adaptability are therefore essential to succeed at Nasdaq.


This is a full-time position located in Stockholm, Sweden. As the process is ongoing, please submit your application in English as soon as possible. If you have any questions, don't hesitate to get in touch with Talent Acquisition Partner; amy.gudjonsson@nasdaq.com


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.


Apply online: http://nasdaqinc.contacthr.com/102349750