Description:
Our Team:
The A Stock Market Index Company Investigations and Enforcement Team is part of A Stock Market Index Company Regulation. Our mission is to protect investors and market integrity by investigating instances of possible misconduct and enforcing the rules of A Stock Market Index Company three equities markets, six options markets, and the federal securities laws. A Stock Market Index Company I&E Team focuses on the regulation of A Stock Market Index Company member firms and associated persons.
Your role and responsibilities:
You will need the following skills and experience:
And it would be great if you have experience with:
The A Stock Market Index Company Investigations and Enforcement Team is part of A Stock Market Index Company Regulation. Our mission is to protect investors and market integrity by investigating instances of possible misconduct and enforcing the rules of A Stock Market Index Company three equities markets, six options markets, and the federal securities laws. A Stock Market Index Company I&E Team focuses on the regulation of A Stock Market Index Company member firms and associated persons.
Your role and responsibilities:
- Commit to our core investor protection mission by investigating potential violations of exchange and SEC rules and taking enforcement action when the facts warrant it.
- Collaborate closely with Nasdaq enforcement team members to plan and conduct investigations and develop the factual record.
- Plan for and conduct effective on-the-record testimony of witnesses
- Research and understand the legal requirements for charges and sanctions.
- Recommend fair and meaningful outcomes, accurately assessing the evidence and applying a well-reasoned legal framework to support case resolution.
- Develop and implement settlement strategy and advance settlement negotiations with member firms and associated persons.
- Draft clear and organized settlement documents including reasoned analysis of applicable rules, case precedent and recommended sanctions.
- Collaborate effectively with managers and incorporate feedback into planning, documents and execution.
- Collaborate effectively with other Nasdaq departments including options and equities surveillance teams, with self-regulatory organizations such as FINRA, and with the SEC.
- Other tasks that may arise from time to time.
You will need the following skills and experience:
- 4+ years working as a securities enforcement and/or litigation attorney at a financial industry regulator and/or top law firm
- Knowledge of securities regulation and the rules that govern equities and options markets
- Demonstrated ability to work independently with minimal guidance and as a part of a high performing team.
- Excellent communication skills and academic credentials, including a J.D. from an accredited law school.
And it would be great if you have experience with:
- Proficiency in e-discovery tools and databases
- Equities or options trading industry experience
