обновлено 3 дня назад
VP, US Listings Qualifications
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
VP, US Listings Qualifications (Capital Markets and Securities Law): Leading Nasdaq’s listings regulatory program and regulatory analyst team, ensuring listed companies and ETPs comply with exchange listing standards with an accent on investor protection, securities law, and operational leadership. Focus on advising on listing decisions, managing compliance and trading-halt processes, coordinating with FINRA and the SEC, and using technology and AI to improve regulatory operations.
Location: USA — Philadelphia, Pennsylvania
Compensation includes base salary, annual bonus or commissions, equity, and benefits; exact compensation is not specified.
Company
operates a stock market and regulatory programs focused on market integrity, investor protection, and capital formation.
What you will do
- Set the strategic direction of the listings regulatory program.
- Lead and motivate regulatory analysts reviewing listing applications and monitoring listed companies and ETPs for compliance.
- Advise on exchange listing rules, securities laws, capital formation, and trading-halt decisions.
- Oversee compliance processes and changes to the Stock Market and Texas listing standards.
- Coordinate with FINRA, the SEC, internal committees, boards, and other regulatory stakeholders.
- Use technology and AI to improve the efficiency of regulatory operations.
Requirements
- Juris Doctor strongly preferred; an MBA or other professional credentials with an excellent academic record may also be considered.
- Deep knowledge of capital markets, corporate and securities law, and/or exchange listing rules.
- Significant leadership and management experience, ideally leading an operational or regulatory team.
- Demonstrated commitment to investor protection through regulatory programs, investigations, compliance, risk mitigation, or enforcement.
- Strong written, communication, interpersonal, presentation, analytical, consensus-building, and creative problem-solving skills.
- Experience with technology and AI tools, change management, and organizational restructuring, with 10–15 years of experience.
Culture & Benefits
- Full-time employment with a competitive rewards package, including bonus or commissions and equity.
- 401(k) program with a 6% employer match and an employee stock purchase program with a 15% discount.
- Medical, dental, vision, health spending account, life and disability plans, paid time off, and paid flex days.
- Paid parental leave, fertility benefits, bereavement leave, and family support programs.
- Education assistance, job skills training, professional development opportunities, employee resource groups, and paid volunteer days.
- states that most positions follow a hybrid home/office schedule.
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