Senior Regulatory Compliance Analyst

Nasdaq • Philadelphia, PA

1d • Hybrid

About The Position

As a Senior Regulatory Compliance Analyst reporting to the AVP – Regulatory Compliance, you'll play a critical role in monitoring market activity, ensuring regulatory compliance, and maintaining fair and orderly markets for investors, participants, and listed companies. You'll thrive in this position if you're detail-oriented, analytical, and passionate about financial regulation and market integrity in a fast-paced, high-impact environment.

Requirements

• Bachelor's degree in Business, Finance, or related field, or equivalent practical experience.
• 1–3 years of experience in regulatory compliance, market surveillance, or financial services.
• Strong analytical and research skills with the ability to synthesize information from multiple sources.
• Clear communicator with experience working in collaborative, time-sensitive environments.
• Proficiency in tools such as Excel and experience navigating regulatory databases and newswires.

Nice To Haves

• Experience in capital markets, securities regulation, or exchange operations.
• Familiarity with FINRA, SEC, or other regulatory frameworks.
• Exposure to real-time market surveillance systems and trading technologies.

Responsibilities

• Monitor real-time trading activity across securities markets to identify anomalies and ensure compliance with trading rules.
• Research material news and regulatory filings to assess impact on listed companies and recommend trading halts when appropriate.
• Analyze trading patterns and alert dispositions to detect potentially volatile or non-compliant activity.
• Complete regulatory referrals and provide clear summaries of trends and findings to leadership and market regulation entities.
• Partner with market participants, listed companies, and internal stakeholders to gather information and support investigations.

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