[Hiring] Capital Markets Compliance Lead @Collectors

Role Description

Collectors is seeking a Capital Markets Compliance Lead to build the governance, oversight and integrity of its market-facing activity across grading, custody, pricing data and marketplaces. You will report to the Head of Risk & Compliance and work closely with Legal, Product, Engineering, Finance and business leaders.

Our businesses sit unusually close to the market: we authenticate, store, price, publish data about and help sell the assets themselves. We hold our market conduct to a capital-markets standard because collectors and partners make financial decisions based on our grades, prices and custody. This role is strategic: you will design and inspect controls and set the standard.

What You'll Do

• Build a firm-wide markets compliance framework that is risk-based, auditable and scalable, and keep it current as our product set grows.
• Understand how our roles as grader, custodian, data and index publisher, and marketplace operator interact while documenting and implementing controls around each of those roles.
• Design the controls around market-sensitive, non-public information: grading and population data before release, pricing and index changes, vault holdings and transaction activity.
• Own the employee and insider trading framework for relevant assets: pre-clearance, personal-trading and holdings rules, blackout periods, attestations, surveillance and escalation.
• Oversee conflict-of-interest management across all of our roles, including vendor solutions, and report it to executives and the board as necessary.
• Lead internal investigations of suspected misuse, working with Legal and Employee Relations.
• Build the governance framework for the prices, valuations and indexes we publish: methodology, change control, error handling, complaints and conflicts.
• Design and implement controls over how partners and licensees use Collectors grades, prices and data in their own marketing.
• Review data and pricing products, licensing and marketing for accuracy, fairness and regulatory risk.
• Embed controls over data quality and pricing inputs where people rely on them to make financial decisions.
• Design the compliance program for the transactions we facilitate: fair-dealing standards, pricing and disclosure, what we are obliged to deliver, and settlement controls.
• Address the risk of self-dealing and side-dealing: trading ahead, principal versus agent conflicts, undisclosed interests, and staff or affiliate participation.
• Provide compliance input into new products and features from inception, with a fast new-product review.
• Work with Legal and outside counsel on regulatory questions, and turn their conclusions into operating controls.
• Run due diligence and ongoing oversight of commercial and data partners, including review of their marketing and disclosures.
• Act as a trusted advisor to senior leadership, including teaching executives how well-run market businesses manage conduct risk.
• Be a systems thinker: automate monitoring, attestations, testing and reporting wherever regulation allows.
• Build and develop a markets compliance team over time. Produce reporting for executive and board audiences on conflicts, attestations, exceptions, testing and open issues.

Qualifications

• 8+ years in markets, capital markets or investment compliance experience at an exchange, trading platform, broker-dealer, asset manager, or index or market-data provider.
• Deep hands-on experience with MNPI, information barriers and wall-crossing, restricted and watch lists, pre-clearance, personal-trading surveillance and code-of-ethics programs.
• Working knowledge of U.S. securities and markets regulation and of marketing and communications standards.
• Understanding of trading mechanics, market microstructure, fair dealing and principal versus agent conflicts.
• Experience reviewing investment marketing, disclosures, and data or research products.
• Familiarity with surveillance technology and data-driven monitoring.
• Experience building a program in a business adopting market-conduct standards for the first time.
• Can explain regulatory expectations to senior executives and coach non-specialists.

Requirements

• Salary Range: $157,000 - $200,000.
• Actual compensation within this range varies based on a variety of factors, including location, job level, experience, and skill set.
• This role may be eligible for bonuses or other forms of compensation.

Benefits

• Health Insurance: All full-time employees are eligible to enroll in Medical, Dental, and Vision.
• Additional Benefits: Full-time employees are eligible for fertility, commuter, and educational assistance benefits.
• 401(K) Matching Plan: We are proud to offer a competitive 401k matching plan to support your future financial goals.
• Vacation: All salaried employees are eligible for flexible time-off.
• Holiday Pay: All regular, full-time employees are eligible for ten company-paid holidays.
• Employee Discounts: Employees receive discounts on select grading services for approved submissions.