Director, Securities Compliance

Nscale•Seattle, NY

43d

About The Position

About the Role We are seeking a Director, Securities Compliance to help strengthen and mature Nscale’s securities and ethics compliance capability as the company scales. Reporting to the VP, Compliance & Ethics, US, you will be our dedicated subject-matter specialist for securities compliance, MNPI governance, conflicts of interest, personal-account dealing, and related controls. This dedicated specialist role within the global compliance function combines strong technical judgment with hands-on operational delivery. You will design pragmatic, defensible processes and run them in practice across Legal, Finance, Tax, Rewards, Equity Administration, Company Secretariat, and senior business leadership. You will own the design, operation, and day-to-day execution of the securities and dealing compliance program as the resident subject-matter expert, exercising technical judgment independently and escalating policy, enterprise, and higher-risk matters to the VP and SVP of global Compliance and Ethics. Certain adjacent activities are owned elsewhere and this role supports rather than owns them.

Requirements

At least 8 years of deep, demonstrable expertise in securities and dealing compliance, ideally with cross-border exposure.
Strong technical command of MNPI and conflicts controls, clearance and approval processes, restricted-information controls, and personal-account dealing.
Hands-on track record building and personally operating compliance processes and controls; comfortable being both the designer and the operator in a fast-scaling environment.
Strong process and program-management skills, with the ability to operate with precision, pace, and sound judgment.
Proven ability to manage highly sensitive and confidential information with discretion, and strong stakeholder skills with the credibility to advise and constructively challenge executives across Compliance, Legal, Finance, Tax, HR/Reward, Equity Administration, and Company Secretariat.

Nice To Haves

Experience supporting a securities compliance program
Familiarity with relevant securities / market-abuse regimes
Hyperscaler, AI lab, or technology in-house experience
Relevant professional certification or legal qualification

Responsibilities

Design, implement, and operate Nscale’s securities and dealing compliance framework: policies, MNPI and conflicts controls, restricted-information controls, and personal-account dealing controls
Be the subject-matter expert, providing authoritative technical advice and approvals to employees, executives, and the business, escalating novel or higher-risk matters to stakeholders.
Run intake, assessment, approvals, logging, follow-up, and record retention for the program’s clearance and control processes.
Maintain information controls.
Build and maintain restricted-information and conflicts registers, including updates, access controls, and supporting documentation.
Own the control evidence.
Maintain complete and accurate records, logs, approvals, and control evidence in line with governance, audit, and regulatory requirements.
Design and run attestations, communications, and periodic certifications for relevant populations.
Develop and deliver effective training for relevant populations and control owners.
Lead issue identification, escalation, and remediation for securities and dealing control matters.
Report on the program, producing reporting and metrics on program activity, exceptions, and key control indicators.
Support assurance and response to regulatory, audit, and internal review requests, ensuring documentation is complete, accurate, and accessible.
Embed a controls culture, championing disciplined execution, responsiveness, and attention to detail across the program.