Surveillance Analyst

Philadelphia - FMC Tower

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: http://www.nasdaq.com

The Team

The NASDAQ surveillance department monitors compliance with rules and policies to assist Market Regulation in detecting potential violations of Securities and Exchange Commission (SEC) and exchange rules. The Department investigates matters and evaluates the need for disciplinary action. The Departments main goal is to maintain an orderly marketplace and a level playing field for all markets participants including the general public.

Business Unit

Nasdaqs regulatory functions include listings, surveillance, investigations and enforcement, regulatory rule filings and regulatory technology, which report to Nasdaqs Chief Regulatory and Legal Officer. This framework benefits investors and listed companies trading on Nasdaq exchanges, and strengthens our regulatory program by serving as a deterrent to bad actors. This in turn enhances the integrity and transparency of the markets of the future by developing the next generation of regulatory technologies and processes.

Your role and responsibilities

You will monitor real-time trading and review account transactions to ensure appropriateness. You will evaluate all aspects of orders, quotations and transactions, typically having a specific focus on potential market manipulation, transaction appropriateness, and rule compliance.

You will need the following skills and experience

• Completes basic surveillance of real time trading and post trade analysis.
• Performs basic, preliminary surveillance of trading in specified company products, and specific order types.
• Completes basic interventions in trading, e.g. trade breaks and suspensions, with guidance and oversight by supervisor.
• Assists with monitoring markets to detect anomalies, review electronically generated alerts, and address market participant inquires.
• Helps keep the markets fair, orderly, and efficient through implementation of a comprehensive web of regulatory surveillance scrutiny and action.

And it would be great if you have

• Expertise with Microsoft Excel, proficiency with Word and PowerPoint
• Excellent oral and written communication skills
• Excellent conflict management and customer service skills

Education Required: Bachelor Degree in Business/Finance or related discipline, or 1-2 years of related work 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.

Come as You Are

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.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.