Capital Markets Compliance Lead

Collectors is the leading creator of innovative technology that provides value-added services for collectors worldwide. We grade, authenticate, vault, and sell millions of record-setting collectibles, all while modernizing and digitalizing the process to further our mission of helping collectors pursue their passions. We’re always on the lookout for talented people to join our growing team.
Our services span collectible trading cards, autographs, comic books, coins, video games, event tickets, and memorabilia. Our subsidiaries include PSA, PCGS, Beckett, SGC, and Card Ladder.
Since our founding in 1986, we have graded and authenticated millions of items. We employ more than 3000 people across our headquarters in Santa Ana, California and offices in New Jersey, Texas, Florida, Japan, Shanghai, Hong Kong, Canada, Mexico, Germany, the UK, and France.
As part of our interview process, we request that candidates have their cameras on during video interviews. This helps foster meaningful conversation and allows us to create an experience that closely resembles our standard working environment. Certain interview steps may take place by phone. For remote roles, and at our discretion, candidates may be asked to participate in an on-site interview as part of the final stages of the process.
We understand there may be occasional circumstances requiring accommodation and are happy to discuss them as needed. Your recruiter will be able to clarify expectations and answer any questions you have.
Collectors is seeking a Capital Markets Compliance Lead to build the governance, oversight and integrity of its market-facing activity across grading, custody, pricing data and marketplaces. You will report to the Head of Risk & Compliance and work closely with Legal, Product, Engineering, Finance and business leaders.
Our businesses sit unusually close to the market: we authenticate, store, price, publish data about and help sell the assets themselves. We hold our market conduct to a capital-markets standard because collectors and partners make financial decisions based on our grades, prices and custody. This role is strategic: you will design and inspect controls and set the standard.
What You'll Do
Build a firm-wide markets compliance framework that is risk-based, auditable and scalable, and keep it current as our product set grows. Understand how our roles as grader, custodian, data and index publisher, and marketplace operator interact while documenting and implementing controls around each of those roles.
Market Integrity and Information Controls:
Design the controls around market-sensitive, non-public information: grading and population data before release, pricing and index changes, vault holdings and transaction activity. This includes wall-crossing, restricted and watch lists, access controls and escalation, treated with the seriousness of a securities-market information barrier.
Own the employee and insider trading framework for relevant assets: pre-clearance, personal-trading and holdings rules, blackout periods, attestations, surveillance and escalation. Align with Legal and HR and the existing employee market participation policy.
Oversee conflict-of-interest management across all of our roles, including vendor solutions, and report it to executives and the board as necessary.
Lead internal investigations of suspected misuse, working with Legal and Employee Relations.
Pricing, Index and Data Governance:
Build the governance framework for the prices, valuations and indexes we publish: methodology, change control, error handling, complaints and conflicts.
Design and implement controls over how partners and licensees use Collectors grades, prices and data in their own marketing. Much of this is rigorous documentation.
Review data and pricing products, licensing and marketing for accuracy, fairness and regulatory risk, including claims about performance, accuracy and ratings.
Embed controls over data quality and pricing inputs where people rely on them to make financial decisions.
Transactions and Fair Dealing:
Design the compliance program for the transactions we facilitate: fair-dealing standards, pricing and disclosure, what we are obliged to deliver, and settlement controls.
Address the risk of self-dealing and side-dealing: trading ahead, principal versus agent conflicts, undisclosed interests, and staff or affiliate participation.
Products, Partners and the Business
Provide compliance input into new products and features from inception, with a fast new-product review that gives product teams a clear answer with documented conditions.
Work with Legal and outside counsel on regulatory questions, and turn their conclusions into operating controls.
Run due diligence and ongoing oversight of commercial and data partners, including review of their marketing and disclosures.
Act as a trusted advisor to senior leadership, including teaching executives how well-run market businesses manage conduct risk, what regulators look for, and what has to be true before a new product ships.
Be a systems thinker: automate monitoring, attestations, testing and reporting wherever regulation allows, so the program is data-driven and scales without headcount.
Build and develop a markets compliance team over time. Produce reporting for executive and board audiences on conflicts, attestations, exceptions, testing and open issues.
Who You Are
8+ years in markets, capital markets or investment compliance experience at an exchange, trading platform, broker-dealer, asset manager, or index or market-data provider. A broad alternative-assets or digital-assets platform is a strong fit.
Deep hands-on experience with 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 of marketing and communications standards, the judgment to apply them by analogy where they do not strictly reach, and the instinct to bring in counsel at the right 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 program in a business adopting market-conduct standards for the first time; treats controls as how we get to yes.
Can explain regulatory expectations to senior executives and coach non-specialists, with results you can describe with numbers (for example exam findings closed, program coverage, review turnaround).
Salary Range:
The salary range for this position is $157,000 - $200,000. Actual compensation within this range varies based on a variety of factors, including location, job level, experience, and skill set. This role may be eligible for bonuses or other forms of compensation; please ask your recruiter for more details.
Reasons To Join Us
Health Insurance: All full-time employees are eligible to enroll in Medical, Dental, and Vision.

Skills
Employee Relations, Due Diligence, Documentation