Senior Regulatory Product Manager

Company-specific questions

• Have you ever applied or worked for Nasdaq or any of its subsidiaries or affiliates?
• Do you have any contractual or policy restrictions (e.g.: non-competition, non-solicitation, non-disclosure clauses, or an employment agreement restriction) with your current or any previous employer that could limit your availability to work for Nasdaq?
• As a US-headquartered company with global operations, Nasdaq is subject to trade control laws the United States and jurisdictions in which it operates. Under U.S. trade control laws, the release or disclosure of U.S.-origin controlled technology to certain persons is deemed to be an export or re-export to the person’s most recent country of citizenship or permanent residency and may require an export license from the U.S. Government. In addition, U.S. trade control laws may restrict the ability of Nasdaq to hire individuals “ordinarily resident” in certain countries or regions. This screening question and any follow-up information requested from you will be used solely for the purpose of confirming compliance with applicable trade control laws by Nasdaq. Based on your response and the position for which you are applying at Nasdaq, Nasdaq may require additional information in order to proceed with your application for employment. All personal data related to this screening will be maintained pursuant to our posted Job Applicant Privacy Policy . Are you a U.S. citizen, U.S. national, a U.S. lawful permanent resident alien (“U.S. green card holder”), an individual granted U.S. asylee status, or an individual admitted as a U.S. refugee?
• Have you ever been convicted of, pled guilty or no contest to, participated in pre-trial proceedings or a post-proceeding sentence for (1) felony offenses, (2) any misdemeanor offenses involving crimes of dishonesty or breach of trust including theft, money laundering, embezzlement, or the manufacture, sale, distribution of, or trafficking in controlled substances or criminal conspiracy, or (3) multiple Driving Under the Influence (DUI) convictions, within the past seven (7) years? A “Yes” answer will not automatically bar you from employment with Nasdaq. Each situation will be reviewed on its own merits.
• Do you currently hold or plan to register any securities licenses or registrations?
• Have you ever had any (or pending) disciplinary actions taken, or sanctions imposed against you, by the Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission, any related state agency, or national securities exchange, in relation to any violation of the law, applicable rules or ethical standards governing conduct in the securities business? A “Yes” answer will not automatically bar you from employment with Nasdaq. Each situation will be reviewed on its own merits.
• Nasdaq policy restricts employees from certain types of outside business activities while they are employed by the Company. Please disclose any outside business activities you plan to continue if you receive an offer to join Nasdaq, such as employment by another company or organization; engagement as an independent contractor or consultant to another company or organization; serving as an officer, advisor, or mentor to a for-profit business; developing or operating your own business; or owning over 5% of a business (even if that investment does not involve active management). Disclosures will be evaluated by our internal team. Do you have any outside business activities?