About us

Nasdaq Private Market (NPM) is a mission-driven company that supports the entire secondary ecosystem of private companies in their journey to the public markets. Founded in 2013, NPM is a premier provider of liquidity solutions and secondary markets for private company securities. It is a standalone, independent company, founded with strategic investments from a number of other global investment banks. NPM is dedicated to serving a large and growing market for private company secondary liquidity that is built from Nasdaq’s franchise of technology and operating marketplaces.

NPM provides an innovative end-to-end technology platform to enable seamless transactions for private companies and their stakeholders. NPM is both a financial technology provider and operator of its own private marketplace. This enables NPM to offer an institutional-grade, centralized secondary trading venue for issuers, brokers, shareholders and prospective investors of private company stock. This provides clients one platform to transact with confidence, through an experienced, regulated, operator. NPM operates an SEC-registered broker-dealer and alternative trading system (NPM Securities, LLC) and investment adviser (SecondMarket Financial, LLC) as well as offering financial technology to the private market ecosystem. SecondMarket Financial is a private fund adviser and offers referral services to individuals seeking investment management services from unaffiliated investment advisers.

NPM operates in a fast-paced FinTech environment that is constantly evolving. NPM has worked on over 600 private company programs and has over 100,000 users, which includes some of the fastest growing venture-backed companies globally.

Position’s Description

NPM is looking for a Compliance Associate with compliance experience in implementing SEC and FINRA rules to assist the Chief Compliance Officer (CCO) with managing the U.S. broker -dealer (BD) and registered investment adviser (RIA) compliance programs.

What you’ll be doing:

• Assist CCO with compliance reviews, testing, and management reporting.
• Assist CCO with the development, implementation and maintenance of the BD and RIA’s compliance policies and procedures and training programs.
• Monitor compliance with policies surrounding employee personal trading, outside business activities, political contributions, and other BD and IA Code of Ethics policies and procedures.
• Provide appropriate real-time support, advice, and training to the relevant front office and infrastructure personnel with respect to BD and RIA compliance.
• Assist with regulatory filings, including Form ADV, Form CRS and Form PF.
• Review, interpret and assess regulatory impact related to proposed and new securities rules and laws.
• Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews.
• Review and approve marketing materials and other public communications.
• Assist CCO with mock exams/audits, AML, and 3120 annual reviews.
• Review and approve marketing materials and other public communications.
• Support investor qualification and AML/KYC verifications for private fund investors and BD customers.
• Opportunity to assist with risk management plans for NPM’s business units.

What we’re looking for in you:

• 3+ years of broker-dealer and/or investment adviser compliance experience.
• Working knowledge of the Investment Advisers Act of 1940, SEC, SRO, and AML rules and regulations.
• Series 7 (required)
• Bachelor’s degree (required)
• Ability to work dynamically in a small private company and culture
• Strong communication, interpersonal, and presentation skills to work effectively with internal and external stakeholders
• Detail oriented, accurate, organized and able to set priorities
• Ability to multi-task and adapt to shifting priorities
• Strong technical skills in the Microsoft Office suite
• Ability to work at our offices in midtown Manhattan 4 days a week with remote working at certain times throughout the year

Sounds like you?

Please submit your application. If your skills and experience are a match, we will be in touch soon, and in the meantime please visit our website and social media channels to learn more about our innovative business, inclusive culture and where a career at NPM can take you. Nasdaq Private Market 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.