2 jobs found in Philadelphia

Assesses the quality of controls across all risks areas including, but not limited to operations, finance, regulatory, technology, M&A, and clearing. Develops, plans and evaluates internal audit programs for the organization's accounting, statistical records and the organization’s technology systems and the activities of various departments to ensure compliance with the organization's policies, procedures and standards. Ensures the effectiveness of internal controls in compliance with corporate objectives and government standards, such as Sarbanes-Oxley Act (SOX). Audits information systems and applications. Prepares reports for management on the results of audits, providing Executes and reports on the quality of controls across all risk creating areas including, but not limited to operations, finance, regulatory, technology, M&A, and clearing. Performs responsibilities for multiple concurrent projects. Plans, interviews, and assesses controls and procedures Tests...

About Us At Nasdaq, we are relentlessly reimagining the world of tomorrow — one that is built on innovative technology, fueled by market-moving insights and driven by forward thinking. We provide our employees with the resources and opportunities needed to launch a career of achievement, growth and boundless possibilities. The Team Nasdaq’s Listing Qualifications Group’s mission is to protect investors and market integrity by ensuring that listed companies meet the Nasdaq Stock Market’s rigorous listing standards. We are looking for an exceptional regulatory analyst to join our experienced team of regulatory experts. Our ideal candidate has an understanding of Exchange-Traded Products (ETPs), is a problem solver, likes new challenges and can work effectively in a team environment. In this role, you will be part of a team of 200+ legal, compliance, surveillance and regulatory professionals located in the U.S. and Europe. This ETP Analyst role will primarily support the...