Ethics and Compliance Specialist at Nasdaq

Nasdaq is looking for a passionate Ethics and Compliance Project Manager with focus on Ethics & Compliance, to join the Bangalore technology center in India. If Innovation and effectiveness drive you forward this is the place for
you!

We are looking for candidates who share those values along with a genuine desire and drive to deliver top technology solutions to today's markets.

The Ethics Program is looking for someone who will engage in outreach to offices to gain understanding of company, inform strategic planning and develop internal network with members of the Ethics Team, partner with
Communications to enhance Ethics Program awareness internally and externally (consistent with Nasdaq branding and customer objectives), partner with People@Nasdaq to advance culture and values initiatives, and develop
thorough understanding of core policies and Code of Ethics.

Your role and responsibilities:

ETHICS PROGRAM FUNCTIONS

Support execution of Annual Ethics Team Goals, to include:

• Maintain the Global Ethics Team Escalation Response Framework and assist in maintaining Nasdaq's Watch List and Employee Designation System.
• Assist in developing Nasdaq's Onboarding and Annual Ethics Trainings, coordinate the launch of newly developed content, and monitor for completion across Nasdaq.
• Assist the Global Ethics Team Lead in annual updates of Nasdaq's Code of Ethics and related policies.
• Coordinate Global Ethics Team employee outreach, establishing a cadence for Ethics in Action Webinars and improving Nasdaq's intranet presence.

ETHICS AND COMPLIANCE PROCEDURES

• Maintain the Global Ethics Team's Escalation Response Framework, monitoring for potential repeated violations of Nasdaq's policies and adjudicating in accordance with the Escalation Response Framework.
• Assist Global Ethics Team Lead in maintaining and monitoring Nasdaq's Watch List and Employee Designation System.

EDUCATION AND TRAINING

• Work with Global Ethics Team members to develop, execute and update Ethics Program Training Plan, coordinating with LRR, People@Nasdaq, Communications, Finance, and Procurement as necessary.
• Assist in developing classroom, web-based and other media training programs for all employees designed to promote knowledge of the corporate Code of Ethics and related policies.
• Collaborate with the OGC in development/delivery of training to ensure the training content meet legal, regulatory, and corporate objectives.
• Coordinate with People Team to monitor and report on Ethics Training completion across Nasdaq.

ANNUAL CODE AND POLICY UPDATES

• Assist with updating the Code and associated policies for annual review by the appropriate internal committees.
• Identify emerging issues, changes to business and external requirements, suggest edits, and assist with drafting updates to the Code and other policies.
• Coordinate stakeholder meetings during review process as appropriate.
• Coordinate with design team to establish any required final products.

ETHICS OUTREACH

• Serve as the Project Manager for the creation and execution of the Annual Ethics in Action Training Webinars.
• Collaborate with members of the Global Ethics Team to identify potential topics for the monthly webinars; acquire input from members of the Global Ethics Team and People@Nasdaq Team for review.
• Work with counterparts in Communications and People@Nasdaq to coordinate topics, scheduling, webinar creation, and other planned communications.
• Manage Global Ethics Team internal intranet site to improve accessibility and ease of use for Nasdaq employees in navigating Nasdaq's Ethics and Compliance Program.

We expect you to have:

• At least 7 years of experience.
• BA/BS Degree qualified in other related discipline, or equivalent work experience.
• Effectiveness in desktop project management tools including Excel

Come as You Are

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.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.

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