Senior Compliance Manager, Legal Securities
$210,000–$295,000 year
On-siteSeattle, Washington, United States
EXPIREDSeattle, Washington, United StatesOn-siteFull Time$210,000–$295,000 yearSenior LevelSmall
Full TimeSenior LevelSmall
Job Summary
Build and operate Nscale's securities and dealing compliance framework from the ground up, drafting policies for MNPI governance, conflicts of interest, and personal-account dealing. Establish clearance, approval, and reporting processes while running intake, assessment, logging, and record retention for relevant populations. Maintain restricted-information registers and control evidence to support regulatory, audit, and internal review requests. Deliver training to control owners and champion a disciplined execution culture as the program matures.
Required Qualifications
- At least five years of in-house compliance experience focused on securities and dealing compliance
- Direct, hands-on experience building compliance policies and processes from scratch
- Comfortable operating without a lot of structure or precedent
- energetic by the prospect of creating the playbook rather than inheriting one
- Working knowledge of MNPI and conflicts controls
- Working knowledge of clearance and approval processes
- Working knowledge of restricted-information controls
- Working knowledge of personal-account dealing
- Strong organizational and process skills
- judgment to know when to move fast and when to escalate
- Ability to handle sensitive and confidential information with discretion
- Ability to work cross-functionally with Legal, Finance, Tax, HR/Reward, Equity Administration, and Company Secretariat
Desired Qualifications
- exposure to relevant securities / market-abuse regimes
- experience at a hyperscaler or AI lab
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