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Regulatory Compliance Specialist

Sista ansökningsdatum: 
URL för ansökan: 
Karin Ydén: +46 73 449 70 41

All times are in Central European Time.

Job ID: 2017-8845
Job Locations: SE-Stockholm
Posted Date: 2/14/2017
Category: Legal

Nasdaq Position Overview:

Nasdaq is searching for a Regulatory Compliance Specialist to join the Issuer Surveillance team, with a focus to handle listing processes relating to fixed income and Exchange Traded Products. This is an extraordinary opportunity to join the world’s leading exchange company; growing professionally and intellectually while working in a team of experienced and knowledgeable lawyers and compliance professionals in a dynamic international environment.

Nasdaq’s Surveillance organization is responsible for monitoring that issuers and trading participants comply with the rules of the marketplace and that orderly trading and price formation is upheld. The Surveillance team handles the regulatory approvals of admissions to trading and supervises the on-going requirements for issuers, monitors trading and disclosures. The responsibility encompasses all products and the Nordic marketplaces that are operated.

The role:

As a member of Issuer Surveillance, working out of the Stockholm office, you will work within a dynamic team of experts. Your main area of responsibility will be to handle the listing processes for non-equity instruments, e.g. bonds, structured products, warrants etc. Your role will be to support the issuers complete applications and to ensure that products meet all requirements and are duly approved. You will also, as a member of the Issuer Surveillance team, work with other listing processes and take part in monitoring compliance with disclosure requirements and other relevant regulation. You will always be prepared to take action where needed to protect the integrity of our markets, contacting issuers to request information or initiating suspensions of trading.

Education, Professional accomplishments, and Certifications:

  • Education Required: Bachelor degree in law/economics/business
  • 3-4 years working experience, preferably from the banking sector or otherwise related to securities trading or administration

Skills, Requirements and Competencies:

  • Proven interest in financial markets
  • Experience from issuing or administering fixed income products or structured products will be considered very creditable
  • Proficiency in the Swedish and English language, also in formal writing
  • Self-motivated and results oriented with high integrity
  • Experience from working in cross-cultural and/or cross-department enviroment
  • Excellent communication skills

If you are interested in joining our team, please apply via our website. We will do an ongoing selection, so please submit your application as soon as possible. Should you have any questions in regards to the role, please contact Karin Ydén, on + 46 73 449 70 41

Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information or any other status protected by applicable law.

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