Senior Compliance Manager, Legal Securities

Nscale•Seattle, NY

About The Position

Nscale is seeking a Senior Compliance Manager, Legal Securities to help build the company's securities and ethics compliance capability from the ground up as the company scales. This role reports to the VP, Compliance & Ethics, US, and will serve as the hands-on specialist for securities compliance, MNPI governance, conflicts of interest, personal-account dealing, and related controls. This is a builder's role where the individual will be responsible for writing the initial versions of policies related to MNPI, insider trading, and preclearance, establishing the processes behind them, and managing them on a day-to-day basis. The role requires close collaboration with Legal, Finance, Tax, Rewards, Equity Administration, and Company Secretariat. The individual will operate independently on technical work and escalate policy calls, novel issues, and higher-risk matters to senior leadership. The position offers significant opportunity for growth in scope as the program matures. Certain adjacent activities are owned elsewhere and this role supports rather than owns them.

Requirements

At least five years of in-house compliance experience focused on securities and dealing compliance, ideally gained at one or more startups or high-growth technology companies (pre- and/or post-IPO)
Direct, hands-on experience building compliance policies and processes from scratch — you've written the first draft of a policy or stood up a new control, not just maintained one someone else designed
Comfortable operating without a lot of structure or precedent, and energized by the prospect of creating the playbook rather than inheriting one
Working knowledge of MNPI and conflicts controls, clearance and approval processes, restricted-information controls, and personal-account dealing
Strong organizational and process skills, with the judgment to know when to move fast and when to escalate
Ability to handle sensitive and confidential information with discretion, and to work cross-functionally with Legal, Finance, Tax, HR/Reward, Equity Administration, and Company Secretariat

Nice To Haves

Exposure to relevant securities / market-abuse regimes
Experience at a hyperscaler or AI lab

Responsibilities

Build and operate Nscale's securities and dealing compliance framework: policies, MNPI and conflicts controls, restricted-information controls, and personal-account dealing controls
Draft, launch, and continuously improve the clearance, approval, and reporting processes used by employees, executives, and the business, escalating novel or higher-risk matters as needed
Run intake, assessment, approvals, logging, follow-up, and record retention for the program's clearance and control processes
Build and maintain restricted-information and conflicts registers, including access controls and supporting documentation
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 training for relevant populations and control owners
Support issue identification, escalation, and remediation for securities and dealing control matters
Track and report on program activity, exceptions, and key control indicators
Support responses to regulatory, audit, and internal review requests, ensuring documentation is complete and accessible
Help build a controls culture, championing disciplined execution and attention to detail as the program grows