ETP/Options Compliance Analyst

at  Nasdaq

About Us
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.
The Team
Nasdaq’s Listing Qualifications Group’s mission is to protect investors and market integrity by ensuring that listed companies meet the Nasdaq Stock Market’s rigorous listing standards. We are looking for an exceptional regulatory analyst to join our experienced team of regulatory experts. Our ideal candidate has an understanding of Exchange-Traded Products (ETPs), is a problem solver, likes new challenges and can work effectively in a team environment. In this role, you will be part of a team of 200+ legal, compliance, surveillance and regulatory professionals located in the U.S. and Europe.

This ETP Analyst role will primarily support the listing compliance program for Nasdaq-listed ETPs within the Nasdaq Listing Qualifications Department. The analyst will also assist in the regulation of listings on Nasdaq’s options markets.

• Review and analyze applications for initial listing of ETPs on Nasdaq.
• Monitor Nasdaq-listed ETPs for compliance with ongoing listing requirements.
• Process requests for options listing on Nasdaq’s six U.S. options exchanges and monitor for compliance with continued listing standards.
• Timely and accurately maintain records in a proprietary compliance tracking system.
• Identify instances of non-compliance and follow departmental procedures for deficiency administration.
• Collect and analyze ETP listing data and statistics.
• Participate in special projects as assigned.

You will need the following skills and experience:

• Understanding of ETP structure and awareness of ETP industry trends.
• Basic knowledge of options markets and trading.
• Excellent written and communication skills.
• Detail oriented with an ability to organize and prioritize numerous tasks and complete them under time constraints.
• Excellent interpersonal and organization skills.
• Proficient in Microsoft Outlook, PowerPoint, Word and Excel. Knowledge of FactSet, Bloomberg and Access is a plus.
• Ability to work independently within required time frames.
• Comfortable using basic data analytic techniques to preform standard analyses.
• Education Required: Undergraduate degree in Business/Finance or related discipline
• Experience Required: 1 to 3 years. Experience within the ETP industry a plus.

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.
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.
In addition to base salary, Nasdaq offers significant other compensation (annual bonus/commissions and equity), 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

• Review and analyze applications for initial listing of ETPs on Nasdaq.
• Monitor Nasdaq-listed ETPs for compliance with ongoing listing requirements.
• Process requests for options listing on Nasdaq’s six U.S. options exchanges and monitor for compliance with continued listing standards.
• Timely and accurately maintain records in a proprietary compliance tracking system.
• Identify instances of non-compliance and follow departmental procedures for deficiency administration.
• Collect and analyze ETP listing data and statistics.
• Participate in special projects as assigned