Associate General Counsel - Global Ethics and Compliance Program
Summary of Relevant Experience
Summary of Experience – Associate General Counsel - Global Ethics and Compliance Program @ Nasdaq
- In-house counsel with JD/MBA credentials and four years of progressive experience designing and administering compliance programs spanning ERISA, HIPAA, and healthcare regulatory frameworks across multiemployer funds and a Fortune 500 insurer.
- Employee benefits and regulatory attorney who has led M&A due diligence workstreams, managed outside counsel, and advised C-suite executives on complex regulatory change impacting plan governance and operations.
- Litigation and compliance strategist who has built and maintained internal compliance policies, conducted incident response, and coordinated cross-functional teams to implement regulatory requirements across large, matrixed organizations.
- Counsel experienced in drafting and updating plan governance documents, codes of conduct, and compliance training materials, with demonstrated ability to translate complex legal requirements into actionable guidance for business stakeholders.
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Why this is a fit
Your ERISA/employee benefits legal background and in-house compliance experience align partially with this AGC role at Nasdaq, but the posting requires 8+ years of broad corporate compliance experience spanning anti-corruption, sanctions/export control, and technology regulation—areas outside your core ERISA/benefits specialization—and the seniority expectation (8+ years, reporting to CCO at a global fintech) exceeds your approximately four years of in-house experience.
About the role
Attorney responsible for supporting corporate ethics and compliance program including program structuring, regulatory monitoring, anti-financial crime program, ethics program, diligence and integration of acquisitions, and incident investigation and response We are seeking a creative and adaptable attorney with enterprise-wide corporate compliance experience in 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 including – 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 Partnering with the Chief Compliance Officer to 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 The ideal candidate will bring – At least 8 years of practice as an attorney with a broad range of experience across different subject matter areas – while experience in all of the following is not required, it is expected that a candidate will have addressed a number of the following areas in their career: 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. Also desirable is 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 Experience managing complex and longer-term projects involving change management with multiple stakeholders 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 leverage AI, automation and other technology tools to facilitate and accelerate analysis, decision making and reporting JD from accredited US law school and admission to practice law in at least one US state or District of Columbia Come as You Are Nasdaq is an equal opportunity employer. We welcome applications from candidates of all backgrounds and identities. We are committed to fostering an inclusive workplace where diverse perspectives, experiences, and identities are valued and celebrated. We ensur