Capstone is looking for a qualified, enthusiastic candidate to join the firm’s global Legal and Compliance team in a Compliance Associate role. This is a full-time position based out of Capstone’s New York City headquarters. The Compliance Associate will be part of Capstone’s global Legal and Compliance team, comprised of 10 total team members, and will report to the firm’s Deputy Chief Compliance Officer. The role offers the opportunity to work with a team that provides oversight and counsel to Capstone in connection with the firm’s legal, compliance and regulatory obligations.
The Compliance Associate will be engaged in a broad variety of compliance matters, assisting in the day-to-day implementation of Capstone’s compliance program. Responsibilities will include:
- Managing Capstone’s Code of Ethics process;
- Managing Capstone’s marketing material review process related to Capstone’s commingled investment funds and accounts;
- Assisting in Capstone’s 206(4)-7 Annual Review process;
- Identifying, interpreting and preparing for new rules and regulations applicable to Capstone;
- Assisting in Capstone’s regulatory reporting process;
- Trade surveillance, monitoring and testing; and
- Involvement in special projects.
The ideal candidate is an intellectually curious individual who wants to develop skills in a fast-paced environment, has the ability to be proactive, responsive and multi-task efficiently, and a desire to create relationships across Capstone through collaborative work with the firm’s Investment, Technology, Operations, Middle Office, Finance and other teams. The candidate should be humble, results-oriented and have the flexibility to adapt to quickly changing circumstances and priorities. Excellent written and verbal communications skills are necessary for success in this role.
Candidates should have the following qualifications and prior experience:
- 5-7 years’ experience in compliance at a registered investment adviser
- Direct experience with some or all of the following: Code of Ethics, marketing review, trade compliance, regulatory reporting (preferably on a global scale) and general investment management compliance
- Knowledge of derivatives strategies and familiarity with complex financial products is helpful
- Bachelor’s degree from a recognized college or university
BASE SALARY RANGE
$130,000 – $170,000 USD