Associate General Counsel - Global Ethics and Compliance Program

ADTM Adenza Technology de Mexico S de RL de CV•Washington DC, DC

5h•Hybrid

About The Position

Attorney responsible for supporting corporate ethics and compliance program including program structuring, regulatory monitoring, anti-financial crime program, ethics program, diligence and integration of acquisitions, and incident investigation and response. We are seeking a creative and adaptable attorney with enterprise-wide corporate compliance experience in a global technology organization to help lead Nasdaq’s ethics and compliance program. Reporting to the Chief Compliance Officer, this role will involve a diverse range of activities including – Coordinating with others in the Ethics and Compliance Team and other functions to maintain and continuously improve Nasdaq’s compliance programs in alignment with established practices and standards such those reflected in the Department of Justice Evaluation of Corporate Compliance Programs and OFAC Compliance Framework. Managing the Nasdaq’s regulatory change management processes for its global technology and information services business lines, engaging with other teams within the Legal, Regulatory and Risk Department on implementing regulatory changes in a coordinated manner. Assessing proposed regulations for their impact on Nasdaq to inform engagement by Nasdaq in the regulatory development process. Collaborating with Risk Management and other second line functions to integrate compliance into the company’s risk management frameworks; serving as primary legal advisor to Risk Management on its initiatives. Representing compliance on company-wide initiatives and working groups, leading legal-related workstreams and providing legal analysis and support. Providing legal advice and support to Nasdaq Ethics and Global Compliance operational teams. Maintaining Nasdaq’s Code of Ethics and supporting compliance policies including annual and ad hoc update processes; supporting annual and ad hoc training on policies. Partnering with the Chief Compliance Officer to managing Nasdaq’s new location-based Ethics and Compliance Representative Program. Developing performance measures for reporting on program execution for executive committees and the board. Participating in the due diligence of prospective acquisitions and leading workstreams for acquisition integration. Providing legal support as needed to address incidents, ad hoc requests or surge needs.

Requirements

At least 8 years of practice as an attorney with a broad range of experience across different subject matter areas
Experience in compliance program structuring
Experience in technology regulation (other than privacy)
Experience in sanctions/export control
Experience in anti-corruption
Experience in corporate ethics (e.g., conflicts of interest, insider trading, outside activities)
Experience in incident response/crisis management
Experience managing complex and longer-term projects involving change management with multiple stakeholders
Excellent interpersonal and communication skills including the ability to effectively convey complex content to an executive audience
A collaborative approach to working across functions to achieve outcomes
Experience leveraging AI, automation and other technology tools to facilitate and accelerate analysis, decision making and reporting
JD from accredited US law school
Admission to practice law in at least one US state or District of Columbia

Nice To Haves

Experience in commercial contracting
Experience serving as the legal advisor for a revenue-generating business unit
An excitement to addressing novel legal issues and providing actionable, practical advice to the business in the face of new or ambiguous legal requirements

Responsibilities

Coordinating with others in the Ethics and Compliance Team and other functions to maintain and continuously improve Nasdaq’s compliance programs in alignment with established practices and standards such those reflected in the Department of Justice Evaluation of Corporate Compliance Programs and OFAC Compliance Framework
Managing the Nasdaq’s regulatory change management processes for its global technology and information services business lines
Engaging with other teams within the Legal, Regulatory and Risk Department on implementing regulatory changes in a coordinated manner
Assessing proposed regulations for their impact on Nasdaq to inform engagement by Nasdaq in the regulatory development process
Collaborating with Risk Management and other second line functions to integrate compliance into the company’s risk management frameworks
Serving as primary legal advisor to Risk Management on its initiatives
Representing compliance on company-wide initiatives and working groups
Leading legal-related workstreams and providing legal analysis and support
Providing legal advice and support to Nasdaq Ethics and Global Compliance operational teams
Maintaining Nasdaq’s Code of Ethics and supporting compliance policies including annual and ad hoc update processes
Supporting annual and ad hoc training on policies
Partnering with the Chief Compliance Officer to managing Nasdaq’s new location-based Ethics and Compliance Representative Program
Developing performance measures for reporting on program execution for executive committees and the board
Participating in the due diligence of prospective acquisitions and leading workstreams for acquisition integration
Providing legal support as needed to address incidents, ad hoc requests or surge needs