Compliance & Operations Specialist

ADTM Adenza Technology de Mexico S de RL de CV • Philadelphia, PA

8d • Hybrid

About The Position

Compliance & Operations Specialist We are seeking a detail-oriented Compliance and Operations Specialist to join our team at Nasdaq. This role is critical to maintaining the integrity of operations and mitigating regulatory risk across the business. The successful candidate will serve as the primary point of contact for customer order tracking, vendor coordination, and internal team collaboration to deliver services within established SLAs.

Requirements

• Bachelor's degree in Business Administration , Compliance, legal, or related field
• 2-3 years of experience in compliance, regulatory, audit, customer operations, order management, or similar role
• Familiarity with industry-specific regulations – SOX, GDPR, SEC, FINRA
• Excellent communication skills, both written and verbal
• Detail-oriented with strong analytical and problem-solving abilities

Nice To Haves

• Certifications Certified Internal Auditor (CIA), Certified Information Systems Auditor (CIA), Certified Fraud Examiner (CFE), Certified Compliance & Ethics Professional (CCEP)
• Exposure to SEC regulatory processes including rule filings for facilities of the exchange
• Experience with process improvement and optimization

Responsibilities

• Monitor and audit operations to ensure adherence to regulatory requirements and internal policies.
• Identify and mitigate compliance risks through proactive measures and process improvements.
• Prepare and deliver compliance reports and updates to management regularly.
• Support client communications and order tracking to maintain transparency and SLA compliance.
• Coordinate cross-functional teams to ensure seamless service delivery and documentation accuracy

Benefits

• 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
• Comprehensive medical, dental and vision coverage
• Health spending account with employer contribution
• Paid flex days to support mental wellbeing
• Gym membership discounts
• Hybrid home/office schedule (for most positions)
• Paid parental leave
• Fertility benefits
• Paid bereavement leave
• Company gift matching program
• Employee resource groups
• Paid volunteer days
• Education Assistance Program
• Robust job skills training and Professional development opportunities

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees