Enforcement Counsel | Bethesda Magazine

Enforcement Counsel

Nasdaq

Rockville | Legal | Entry-level, Mid-level | Full-time
Date posted: 10-11-19

The mission of the Nasdaq Investigations and Enforcement Team is to protect investors and market integrity by investigating possible misconduct and enforcing Nasdaq’s market and listings rules and the federal securities laws. We’re looking for an enforcement attorney to join our growing team and help us achieve our mission!

A typical day may include

  • Investigating possible exchange rule violations by member firms.
  • Analyzing whether sufficient evidence exists to bring enforcement actions.
  • Drafting memoranda summarizing investigation findings and recommended enforcement actions.
  • Preparing for and participating in on-the-record testimony.
  • Assisting with settlement negotiations and drafting settlement documents.
  • Coordinating with the SEC, FINRA and other regulatory organizations.
  • Preparing for delisting proceedings.

Who We Are

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 they need to chart a career of achievement, growth and endless possibilities.

Our People Lead with Integrity, take ownership, strive to fuel client success, consistently deliver value and collaborate to play as a team to innovate at the highest level

The Team

The mission of the Nasdaq Investigations and Enforcement Team is to protect investors and market integrity by investigating possible misconduct and enforcing Nasdaq’s market and listings rules and the federal securities laws. We’re looking for an enforcement attorney to join our growing team and help us achieve our mission!

A typical day may include

 

  • Investigating possible exchange rule violations by member firms.
  • Analyzing whether sufficient evidence exists to bring enforcement actions.
  • Drafting memoranda summarizing investigation findings and recommended enforcement actions.
  • Preparing for and participating in on-the-record testimony.
  • Assisting with settlement negotiations and drafting settlement documents.
  • Coordinating with the SEC, FINRA and other regulatory organizations.
  • Preparing for delisting proceedings.

Necessary Skills/experience Include

  • 4+ years working as an enforcement and/or litigation attorney at a financial industry regulator or top law firm
  • Knowledge of securities regulation and the rules that govern equities and options markets
  • Demonstrated ability to work independently and as a part of a team.
  • Excellent communication skills and academic credentials, including a J.D. from an accredited law school.

And it would be great if you also have

  • Proficiency in e-discovery tools and databases
  • Equities or options trading industry experience

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.

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