Senior Securities Compliance Architect

Nscale; Seattle, New York (WA, NY); Hybrid; USD 210,000 - 295,000; Full time

Job summary

Nscale is seeking a Senior Compliance Manager, Legal Securities, to build its securities and ethics compliance program from the ground up. You will draft MNPI and insider-trading policies, establish processes, and operate them daily, collaborating with Legal, Finance, Tax, Rewards, Equity Administration, and Company Secretariat.

The role requires at least five years of in-house securities compliance experience and a track record of creating new controls and policies in fast-moving tech

Qualifications

• Five+ years of in-house compliance experience focused on securities and dealing compliance.
• Hands-on experience building compliance policies and processes from scratch.
• Ability to operate without much structure and create playbooks for new controls.
• Knowledge of MNPI and conflicts controls, clearance processes, and personal-account dealing.
• Strong organizational skills and discretion with sensitive information.

Responsibilities

• Build and operate securities and dealing compliance framework and controls.
• Draft, launch, and improve clearance, approval, and reporting processes for employees and executives.
• Run intake, assessment, logging, and record retention for the program's controls.
• Maintain restricted-information and conflicts registers with access controls.
• Maintain records, logs, and control evidence in line with governance and audits.
• Design and run attestations, communications, and periodic certifications.
• Develop and deliver training for relevant populations and control owners.
• Support issue identification, escalation, and remediation for control matters.
• Track program activity and key control indicators; report exceptions.
• Assist responses to regulatory, audit, and internal requests with complete documentation.
• Foster a disciplined controls culture as the program grows.

Skills

Regulatory compliance

MNPI knowledge

Confidential information handling

Cross-functional collaboration

Policy development

Job description

Nscale is seeking a Senior Compliance Manager, Legal Securities, to build its securities and ethics compliance program from the ground up. You will draft MNPI and insider-trading policies, establish processes, and operate them daily, collaborating with Legal, Finance, Tax, Rewards, Equity Administration, and Company Secretariat.

The role requires at least five years of in-house securities compliance experience and a track record of creating new controls and policies in fast-moving tech