Capital Markets Compliance Lead

Job Summary

Building a comprehensive compliance framework, the full-time Capital Markets Compliance Lead will manage governance and oversight of market-facing activities related to grading, custody, pricing data, and marketplaces while working remotely.

Key responsibilities

• Develop and maintain a risk-based, auditable compliance framework for market-sensitive information and transactions
• Oversee the governance framework for pricing, valuations, and indexes, ensuring accuracy and regulatory compliance
• Provide compliance input for new products and features, collaborating with legal and business teams to implement controls

Required qualifications

• 8+ years of experience in markets, capital markets, or investment compliance at a relevant financial institution
• Deep knowledge of market-sensitive non-public information (MNPI) and compliance frameworks
• Familiarity with U.S. securities regulations and marketing standards
• Experience in building compliance programs in businesses adopting market-conduct standards
• Ability to communicate regulatory expectations effectively to senior executives