Principal Auditor

6 months ago
Job ID
Customer Service/Support

Nasdaq Position Overview

NASDAQ continues to execute on its growth strategy within the Global Information Services “GIS” division. This business currently accounts for over $500 Million in revenue, at attractive profit margins. The ambition of the group is to grow this significantly, and in a sustainable manner. NASDAQ sees excellent opportunities for growth beyond traditional core areas of strength of market data and indexes by expanding into other data sets, analytics, smart beta and outcome based indexes and geographical expansion.


We plan to accelerate growth by further commercializing core assets through development of additional value added services for clients, expanding its solutions set by providing analytics services and by delivering innovative platforms and technologies to market participants. This will include new markets and products in addition to extending the uptake of existing solutions and forming partnerships with other market participants.

 We are looking for a Senior level employee with management level experience. The job role will include the following:

  • With the introduction of ESMA MIFIR Requirements, manage the benchmark registration process for Nasdaq products
  • Understand the legislative and procedural requirements on benchmark regulations, ensure compliance with regulations, and work with internal stakeholders to adhere to registration requirements.
  • Candidate will need to draft code of conduct which includes internal procedures, statements, guidelines regarding benchmarks, and develop and implement reporting tools to ensure compliance.
  • Business development and impact to understand risks and identify opportunities for growth
  • Develop customer relationships with the contributors to ensure contributors are compliant with the regulations and that governance structure adopted by Nasdaq is sustainable
  • Product management experience will also be required, develop a strategy to sell market data services to third party content providers which can leverage our technology, processes, and team to develop their own content business.
  • Manage third party content providers relationship, and develop new relationships.

Education, Professional accomplishments, and Certifications

  • Education Required: Bachelor’s Degree in Business Administration, or a related discipline, i.e. Computer Science or Information Systems. Advanced degree preferred.  
  • Experience Required:  10+ years
  • Special Qualifications: Professional auditing certifications and proficiency in servers, operating systems and databases

Skills, Requirements and Competencies

  • Requires conceptual knowledge of theories, practices and procedures within a discipline. 
  • Requires guidance on task initially and requires supervision. 
  • Is working in a smaller defined area of the role, this continues to expand as the employee gains more confidence and capability. 
  • Applies general knowledge of business developed through education or past experience. 
  • Often needs help understanding the commercial side or key business drivers impacting the task/decision.
  • No supervisory responsibilities; accountable for developing technical contribution.
  • Uses existing procedures to solve standard problems; analyses information and standard practices to make judgments.
  • Has limited impact on own work team; works within standardized procedures and practices to achieve objectives and meet deadlines as described by supervisor. 
  • Exchanges straightforward information, asks questions and checks for understanding. 
  • Recognizes when control and exposure problems occur, promptly notifying team and leads of their happening.
  • Researches basic audit information and prepares preliminary reports with findings.
  • Provides preliminary input to control plans, adhering to deadlines and balancing competing priorities or deviations from plan.
  • Acquires basic knowledge of systems and databases through completing routine responsibilities.
  • Completes routine activities by using company systems and technologies.
  • Completes basic quality review checks on data. 
  • Prepares preliminary reports and analyses according to predetermined standards for supervisor/manager review and input. 
  • Provides basic insights on proposed audit plans.
  • Learns how to identify basic inconsistencies between work products and supporting analyses.
  • Develops an understanding of basic control and processing risks and how to assess them during the course of an audit. 
  • Develops awareness of basic definitions, rules, and techniques of risk management. 
  • Applies basic functional and technical knowledge, in addition to organizational standards, techniques, and procedures when completing work.
  • Seeks opportunities to build functional skills and technical expertise; gathers feedback from senior associates.
  • Develops basic understanding of technical discipline, answering basic questions pertaining to a specific area of expertise.



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.


Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
Share on your newsfeed

Connect With Us

Not ready to apply? Connect with us for general consideration.