Capital Markets Compliance Lead

🔥 17 hours ago

🇺🇸 United States – Remote

💵 $157k - $200k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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Collectors

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

💼 Consulting

📣 Marketing

🛍️ eCommerce

Consulting • Marketing • eCommerce

Collectors is a company dedicated to helping collectors pursue their passion for collecting valuable and iconic items. They specialize in authenticating and grading collectibles, including rare baseball cards, coins, and memorabilia. Collectors offers industry-leading authentication and grading services, connecting a community of enthusiasts to help them grow their collections. Their products feature famous collectibles such as Mickey Mantle's 1952 Topps Baseball card, the 1913 Liberty Head nickel, and a Limited Edition Solid 20-karat Gold 20th Anniversary Pikachu. Collectors provides a platform for collectors to connect with others and build the future of collecting.

📋 Description

• Build a firm-wide, risk-based, auditable and scalable markets compliance framework • Document and implement controls across grading, custody, data and index publishing, and marketplace operations • Design controls for market-sensitive, non-public information, including wall-crossing, restricted and watch lists, access controls and escalation • Own the employee and insider trading framework, including pre-clearance, personal-trading and holdings rules, blackout periods, attestations, surveillance and escalation • Oversee conflict-of-interest management and report conflicts to executives and the board as necessary • Lead internal investigations of suspected misuse with Legal and Employee Relations • Build governance for published prices, valuations and indexes, including methodology, change control, error handling, complaints and conflicts • Implement controls for partners' and licensees' use of Collectors grades, prices and data in marketing • Review data and pricing products, licensing and marketing for accuracy, fairness and regulatory risk • Embed controls over data quality and pricing inputs • Design compliance programs for facilitated transactions, including fair dealing, pricing, disclosure and settlement controls • Address self-dealing and side-dealing risks, including trading ahead, principal-versus-agent conflicts, undisclosed interests and staff or affiliate participation • Provide compliance input on new products and features and conduct new-product reviews • Work with Legal and outside counsel on regulatory questions and translate conclusions into operating controls • Conduct due diligence and ongoing oversight of commercial and data partners • Advise senior leadership and teach executives about conduct risk and regulatory expectations • Automate monitoring, attestations, testing and reporting where permitted • Build and develop a markets compliance team • Report to executives and the board on conflicts, attestations, exceptions, testing and open issues

🎯 Requirements

• 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 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 • Ability to explain regulatory expectations to senior executives and coach non-specialists • Results that can be described with numbers, such as exam findings closed, program coverage, and review turnaround • Ability to work legally in the United States

🏖️ Benefits

• Medical, Dental, and Vision insurance • Fertility assistance • Commuter assistance • Educational assistance • Competitive 401(k) matching plan • Flexible time-off • Ten company-paid holidays • Discounts on select grading services for approved submissions • Potential eligibility for bonuses or other compensation

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