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Nasdaq Hiring General Counsel, Who Has JD Degree

Posted on: 18 Oct 2020 101 views
: Enforcement Counsel
: Nasdaq
: JD
: 4

About us
Nasdaq (Nasdaq:NDAQ) is a leading global provider of trading, clearing, exchange technology, listing, information and public company services. Through its diverse portfolio of solutions, Nasdaq enables customers to plan, optimize and execute their business vision with confidence, using proven technologies that provide transparency and insight for navigating today's global capital markets. As the creator of the world's first electronic stock market, its technology powers more than 100 marketplaces in 50 countries, and 1 in 10 of the world's securities transactions. Nasdaq is home to approximately 4,000 total listings with a market value of approximately $15 trillion. To learn more, visit:

The Team
The Nasdaq Investigations and Enforcement Team’s mission is to protect investors and market integrity by investigating possible misconduct and enforcing Nasdaq’s market and listings rules and the federal securities laws.  We’re looking for an exceptional enforcement attorney to join our growing team and help us build a robust and impactful enforcement program!

Your role and responsibilities

Your day is varied and fast paced.   In the morning, you might find yourself deep into allegations of market manipulation, partnering with the team’s investigators to prepare for on-the-record testimony.   Later in the day, you could be drafting settlement documents, negotiating with a firm’s counsel over potential rule violations or appropriate sanctions.   Of course, you will have already analyzed the evidence to determine if there is an appropriate basis to bring enforcement actions alleging exchange rule violations.  You will have also identified and reviewed applicable precedent to guide your thinking, a key part of the job.   It is also possible that you will be coordinating with other regulatory exchanges, including exchanges, FINRA and the SEC.   You may also be involved in delisting proceedings involving listed companies.   And through it all, you bring your experience to bear, exercising good judgment in making meaningful and fair decisions that have real impact on our markets, firms and investors.

You will need the following skills and experience

  • 4+ years working as an enforcement and/or litigation attorney at a financial industry regulator and/or top law firm
  • Knowledge of securities regulation and the rules that govern equities and options markets
  • Demonstrated ability to work independently and as a part of a team.
  • Excellent communication skills and academic credentials, including a J.D. from an accredited law school.

And it would be great if you have experience with

  • Proficiency in e-discovery tools and databases
  • Equities or options trading industry experience

Sounds like you?    Please follow through by clicking the “Apply” link and submitting your application.  If your skills and experience are a match, we will be in touch soon, and in the meantime please visit our website and social media channels to learn more about our innovative business, inclusive culture and where a career at Nasdaq can take you.

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