{"id":111384,"url":"https://alion.io/job/nasdaq-senior-regulatory-compliance-analyst","title":"Senior Regulatory Compliance Analyst","company":{"id":2948,"name":"Nasdaq","domain":"nasdaq.com","url":"https://alion.io/company/nasdaq","size_band":"5000+","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":{"grade":"A","score":85,"open_postings":29,"ghost_share":0,"stale_share":0.586,"repost_share":0,"time_to_fill_p50_days":39,"computed_at":"2026-11-03T05:54:40Z"}},"role":"Legal","role_family":"Legal","seniority":"senior","employment_type":"full_time","work_mode":"hybrid","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Philadelphia, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":{"min_usd":109000,"max_usd":255000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":2113},"experience_years_min":1,"visa_sponsorship":false,"relocation_package":false,"has_equity":true,"technologies":[{"name":"AI Agents","optional":false}],"status":"live","first_seen_at":"2026-07-20T00:00:00Z","employer_posted_date":"2026-07-20","last_verified_at":"2026-11-03T11:48:13Z","board_verified":true,"closed_at":null,"days_open":106,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":106},"description":"As a Senior Regulatory Compliance Analyst reporting to the AVP - Regulatory Compliance, you'llplay a critical role in monitoring market activity, ensuring regulatory compliance, and maintainingfair and orderly markets for investors, participants, and listed companies.\nYou'll thrive in this position ifyou'redetail-oriented, analytical, and passionate about financial regulation and market integrity in a fast-paced, high-impact environment.\nKey Responsibilities\n·Monitor real-time trading activity across securities markets to identifyanomalies and ensure compliance with trading rules.\n·Research material news and regulatory filings to assess impact on listed companies and recommend trading halts when appropriate.\n·Analyze trading patterns and alert dispositions to detect potentially volatile or non-compliant activity.\n·Complete regulatory referrals and provide clear summaries of trends and findings to leadership and market regulation entities.\n·Partner with market participants, listed companies, and internal stakeholders to gather information and support investigations.\nRequired Qualifications\n·Bachelor's degree in Business, Finance, or related field, or equivalent practical experience.\n·1-3 years of experience in regulatory compliance, market surveillance, or financial services.\n·Strong analytical and research skills with the ability to synthesize information from multiple sources.\n·Clear communicator with experience working in collaborative, time-sensitive environments.\n·Proficiencyin AI agents and experience navigating regulatory databases and newswires.\nPreferred Qualifications\n·Experience in capital markets, securities regulation, or exchange operations.\n·Familiarity with FINRA, SEC, or other regulatory frameworks.\n·Exposure toreal-time market surveillance systems and trading technologies.\nThis position will be locatedinPhiladelphia andoffers the opportunity for a hybrid work environment at least 3 days a week in-office, subject to change, providing flexibility and accessibility for qualified candidates.\nCome as You Are\nNasdaq is an equal opportunity employer. We welcome applications from candidates of all backgrounds and identities.\nWe are committed to fostering an inclusive workplace where diverse perspectives, experiences, and identities are valued and celebrated.\nWe ensure that individuals with disabilities are provided with reasonable accommodation throughout the hiring process.\nWhat We Offer\nWe’re proud to offer a competitive rewards package that is meaningful, recognizes the unique needs of our employees and their families and incentivizes employees for their contribution to Nasdaq’s overall success.\nIn addition to base salary, Nasdaq offers significant other compensation (annual bonus/commissions and equity), benefits, and opportunity for growth. Exact compensation may vary based on several job-related factors that are unique to each candidate, including but not limited to: skill set, experience, education/training, business needs and market demands.\nNasdaq’s programs and rewards are intended to allow our employees to:\n Secure Wealth: 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\nPrioritize Health: Comprehensive medical, dental and vision coverage, Health spending account with employer contribution, Paid flex days to support mental wellbeing, Gym membership discounts\n Care for Family: Hybrid home/office schedule (for most positions), Paid parental leave, Fertility benefits, Paid bereavement leave\nConnect with Community: Company gift matching program, Employee resource groups, Paid volunteer days\nGrow Career: Education Assistance Program, Robust job skills training and Professional development opportunities\nFor more information, visitNasdaq Benefits & Rewards Career page .","description_format":"text","description_chars":3898,"description_truncated":false,"requirements":{"experience_years_min":1,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":false},"security_clearance":false,"languages":[]},"benefits":["Education assistance","Equity","Gym membership","Hybrid work","Parental leave","Professional development"],"hiring_locations":[{"name":"United States","iso":"US","kind":"country"}],"hiring_excludes":[],"relocation_offered":false,"industries":["Security Compliance","Stock Exchanges & Market Infrastructure","RegTech, AML & Compliance","Financial Data & Market Intelligence"],"lifecycle":[{"event":"open","at":"2026-09-05T22:00:00Z"}],"visa":[],"liveness":{"score":12,"band":"cold","label":"Long shot","p_open":1,"p_active":0.444,"p_room":0.28,"age_days":106,"expected_fill_days":39,"reasons":["conf:4","stale_co","velocity","win:tail","crowd:brand"],"computed_at":"2026-11-03T05:54:40Z"},"pay":null,"html_url":"https://alion.io/job/nasdaq-senior-regulatory-compliance-analyst","json_url":"https://alion.io/job/nasdaq-senior-regulatory-compliance-analyst.json","meta":{"generated_at":"2026-11-03T21:44:18Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":36,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-04T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":2948},"rest":"https://alion.io/mcp/rest/get_company?id=2948"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fnasdaq-senior-regulatory-compliance-analyst"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fnasdaq-senior-regulatory-compliance-analyst"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fnasdaq-senior-regulatory-compliance-analyst"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/nasdaq-senior-regulatory-compliance-analyst\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fnasdaq-senior-regulatory-compliance-analyst"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":111384}},{"tool":"search_jobs","arguments":{"company":"nasdaq.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":111384},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); 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