Nasdaq, Inc Enforcement Counsel & Regulatory Attorney in philadelphia, Pennsylvania
Nasdaq Position Overview: * Nasdaq Regulatory and Enforcement counsel - Performs a variety of specific duties generally including applying advanced analytical skills to participate in providing legal interpretations regarding Federal securities laws as well as Nasdaq exchange (Nasdaq, PHLX, BX, NFX, ISE) rules, and regulations; in drafting and reviewing legal documents; and in settlements. * * Assigned to handle investigations from initiation through recommendation of a disposition or determine the appropriateness of a referral to another regulatory authority. * Plan for and participate in various tasks related to investigations pertaining to trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof. * Researches and interprets rules, regulations, statutes, and decisions of regulatory and quasi-judicial bodies. Advises the organization regarding laws, rules, and regulations. * Examines and analyzes data to recommend advisability of pursuing corrective, remedial, or legal actions. * Gathers and analyzes evidence to formulate cases or to initiate disciplinary action. * Drafts memoranda summarizing investigative results and recommending whether to take further action. * Prepares Letters of Caution and closing memoranda where formal disciplinary action is not recommended. * Coordinate responses to regulatory requests and reviews by Internal Audit. * Drafts a variety of legal documents. * Review and approve regulatory memorandums prepared by third party regulatory service providers utilized by Nasdaq. * Lead regulatory, surveillance and compliance projects for a variety of situations and projects applicable to regulatory issues. Education, Professional accomplishments, and Certifications : * Law degree and admission to the bar. * A minimum of two years relevant legal experience in a regulatory or legal environment. * Advanced oral and written communication and litigation skills. * Excellent interpersonal skills.