Capital Markets Compliance Lead

Collectors • Los Angeles, CA

1d • $157,000 - $200,000

About The Position

Collectors is seeking a Capital Markets Compliance Lead to build governance, oversight, and integrity for its market-facing activity across grading, custody, pricing data, and marketplaces. The role reports to the Head of Risk & Compliance and works closely with Legal, Product, Engineering, Finance, and business leaders. The position is strategic: it designs and inspects controls for a business whose grades, prices, and custody services inform financial decisions by collectors and partners.

The Lead will create and maintain a risk-based, auditable, scalable markets compliance framework, addressing Collectors' roles as grader, custodian, data and index publisher, and marketplace operator. The role covers market-sensitive information controls; employee and insider trading; conflicts of interest; governance of pricing, valuations, indexes, data, and partner use; and compliance for facilitated transactions.

The Lead will provide compliance input on new products and features, work with counsel to translate regulatory conclusions into operational controls, oversee commercial and data partners, advise senior leadership, and automate monitoring and reporting where possible. The role will also build and develop a markets compliance team over time and report to executive and board audiences.

Requirements

• At least 8 years of 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 material non-public information (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, with judgment to apply standards by analogy where they do not strictly apply and to involve counsel at the appropriate time.
• 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 compliance program in a business adopting market-conduct standards for the first time, and an approach that treats controls as a way to enable business activity.
• Ability to explain regulatory expectations to senior executives and coach non-specialists, with results that can be described numerically.

Nice To Haves

• Experience with a broad alternative-assets or digital-assets platform.

Responsibilities

• Build and maintain a firm-wide, risk-based, auditable, and scalable markets compliance framework that accounts for the company's roles as grader, custodian, data and index publisher, and marketplace operator.
• Design controls for market-sensitive, non-public information, including grading and population data, pricing and index changes, vault holdings, and transaction activity; establish wall-crossing, restricted and watch lists, access controls, and escalation processes.
• Own the employee and insider trading framework for relevant assets, including pre-clearance, personal-trading and holdings rules, blackout periods, attestations, surveillance, and escalation, aligned with Legal, HR, and existing employee market participation policy.
• Oversee conflict-of-interest management across the company's roles, including vendor solutions, and report conflicts to executives and the board as needed.
• Lead internal investigations into suspected misuse in partnership with Legal and Employee Relations.
• Build governance for published prices, valuations, and indexes, including methodology, change control, error handling, complaints, and conflicts.
• Design and implement controls over partners' and licensees' use of Collectors grades, prices, and data in their marketing, including rigorous documentation.
• Review data and pricing products, licensing, and marketing for accuracy, fairness, and regulatory risk, including performance, accuracy, and ratings claims.
• Embed controls over data quality and pricing inputs relied on in financial decisions.
• Design compliance programs for facilitated transactions, including fair-dealing standards, pricing and disclosure, delivery obligations, 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 from inception, using a timely new-product review process with clear answers and documented conditions.
• Work with Legal and outside counsel on regulatory questions and convert their conclusions into operating controls.
• Conduct due diligence and ongoing oversight of commercial and data partners, including review of marketing and disclosures.
• Advise senior leadership and educate executives about conduct-risk management, regulatory expectations, and requirements before new products launch.
• Automate monitoring, attestations, testing, and reporting wherever regulation allows to build a data-driven, scalable program.
• Build and develop a markets compliance team over time.
• Produce executive and board reporting on conflicts, attestations, exceptions, testing, and open issues.

Benefits

• Medical, dental, and vision insurance for eligible full-time employees.
• Fertility, commuter, and educational assistance benefits for eligible full-time employees.
• 401(k) matching plan.
• Flexible time off for salaried employees.
• Ten company-paid holidays for eligible regular, full-time employees.
• Discounts on select grading services for approved employee submissions.
• The role may be eligible for bonuses or other forms of compensation.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed