VP, US Listings Qualifications
Core
Guide the regulatory analysts team to ensure listed companies meet Nasdaq Stock Market and Nasdaq Texas listing standards, protecting investor and market integrity.
Role type
VP, Regulatory Operations (Listings Qualifications)
Builds
Regulatory program for initial listings, compliance monitoring, and enforcement actions for ETPs and companies.
Domain
Capital markets, securities law, exchange listing rules
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities law expertise, capital markets knowledge, executive leadership, project management, change management, risk mitigation, policy development, stakeholder consensus building, technology/AI adoption
Preferred skills
Juris Doctor (J.D.), MBA, accounting background
Technologies
AI tools, technology platforms for regulatory efficiency
Responsibilities
Drive strategic direction of listings regulatory program, lead and motivate regulatory analysts team, advise on listing rules and securities laws, ensure regulatory policies are followed and updated, oversee regulatory process for non-compliant companies and initial listings, create vision for listing standards changes, coordinate with FINRA and SEC, consult on trading halts, report to regulatory oversight committee, advise on capital formation policy matters, reimagine technology use for program efficiency
Seniority
VP, executive leadership