Associate General Counsel - Global Ethics and Compliance Program

About the role

We are seeking a creative and adaptable attorney with enterprise-wide corporate compliance experience in a global technology organization to help lead Nasdaq’s ethics and compliance program. Reporting to the Chief Compliance Officer, this role will involve a diverse range of activities.

Responsibilities

• Coordinating with others in the Ethics and Compliance Team and other functions to maintain and continuously improve Nasdaq’s compliance programs in alignment with established practices and standards such those reflected in the Department of Justice Evaluation of Corporate Compliance Programs and OFAC Compliance Framework
• Managing the Nasdaq’s regulatory change management processes for its global technology and information services business lines, engaging with other teams within the Legal, Regulatory and Risk Department on implementing regulatory changes in a coordinated manner
• Assessing proposed regulations for their impact on Nasdaq to inform engagement by Nasdaq in the regulatory development process
• Collaborating with Risk Management and other second line functions to integrate compliance into the company’s risk management frameworks; serving as primary legal advisor to Risk Management on its initiatives
• Representing compliance on company-wide initiatives and working groups, leading legal-related workstreams and providing legal analysis and support
• Providing legal advice and support to Nasdaq Ethics and Global Compliance operational teams
• Maintaining Nasdaq’s Code of Ethics and supporting compliance policies including annual and ad hoc update processes; supporting annual and ad hoc training on policies
• Managing Nasdaq’s new location-based Ethics and Compliance Representative Program
• Developing performance measures for reporting on program execution for executive committees and the board
• Participating in the due diligence of prospective acquisitions and leading workstreams for acquisition integration
• Providing legal support as needed to address incidents, ad hoc requests or surge needs

Requirements

• At least 8 years of practice as an attorney with a broad range of experience across different subject matter areas
• Experience in compliance program structuring, technology regulation (other than privacy), sanctions/export control, anti-corruption, corporate ethics (e.g., conflicts of interest, insider trading, outside activities), and/or incident response/crisis management
• Experience in commercial contracting or serving as the legal advisor for a revenue-generating business unit
• An excitement to addressing novel legal issues and providing actionable, practical advice to the business in the face of new or ambiguous legal requirements
• Excellent interpersonal and communication skills including the ability to effectively convey complex content to an executive audience
• A collaborative approach to working across functions to achieve outcomes
• Experience leveraging AI, automation and other technology tools to facilitate and accelerate analysis, decision making and reporting

Qualifications

• JD from accredited US law school and admission to practice law in at least one US state or District of Columbia

Skills

• Strong analytical and problem-solving skills
• Excellent written and verbal communication skills
• Ability to manage multiple priorities and deadlines
• Strong organizational and project management skills

Benefits

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. Nasdaq offers a competitive rewards package that includes:

• A 401(k) program with 6% employer match
• An Employee Stock Purchase Program with 15% discount
• A Student loan repayment program up to $10k
• Company-paid life and disability plans
• Generous paid time off
• Comprehensive medical, dental and vision coverage
• A Health spending account with employer contribution
• Paid flex days to support mental wellbeing
• Gym membership discounts
• Fertility benefits
• Paid bereavement leave
• A hybrid home/office schedule (for most positions)
• A robust job skills training and professional development opportunities

Pay

The base pay range for this role is $134,000 - $248,000. In addition to base salary, Nasdaq provides a generous annual bonus/commission (short-term incentive), and equity (long-term incentive).

Schedule

Nasdaq offers a hybrid home/office schedule (for most positions).