A message from our CEO: COVID-19 update

To our clients and partners.

Our thoughts are with you all during these challenging times.

Since the onset of this pandemic we have prioritized our commitment to our team’s health and safety. We were prepared for remote operations long before mandates for social distancing were implemented.

Progressive transparency is a key value to us at Capstone. Employing it with discipline through these uncertain times has enabled us to adapt proactively to evolving health and safety challenges, keeping our operations uninterrupted and our investment strategies agile, while we continue to deliver exceptional client service.

I am proud of each and every member of our team and continue to support them in their commitment to their families, communities and our clients and partners through the ongoing social and economic impacts of this unsettling time.

Please take care of yourselves.

Paul Britton
CEO

United Kingdom

Compliance Officer – UK

 

RESPONSIBILITIES:

  • Provide day-to-day compliance support to teams located in and/or trading jurisdictions located in APAC region relating to a broad range of areas, including, but not limited to trading, marketing, and regulatory reporting matters.
  • Design, implement, and manage the ongoing compliance support framework as needed for APAC region; coordinate with and manage external compliance consultants.
  • Demonstrate deep understanding of global markets trading flow and practices.
  • Create audit and test policies, procedures, and controls with a view towards identifying policy, procedure and control gaps and material weaknesses and developing, implementing, and working in a consultative capacity with regional management to introduce revised procedures as required.
  • Coordinate with Global Compliance Team and the rest of the infrastructure teams to assure consistency of the control framework on a global basis.
  • Design and deliver compliance training on regulatory, compliance policies and procedures.
  • Drive assessments of new regulatory requirements, work with the business to ensure that appropriate procedures and controls are implemented to address new requirements.
  • Participate in relevant industry group discussion and coordinate within the Firm on global regulatory initiatives that impact trading/execution practices.
  • Responsible for liaising with regulators and exchanges and managing regulatory enquiries, with oversight from the CCO/GC.
  • Assist other members on the team with ad-hoc compliance issues.

DESIRABLE CANDIDATES: 

  • Bachelor’s degree; a minimum of 8 years of experience in compliance, legal or other control-related function in the asset management industry, a regulatory organization, or legal/consulting firm, or a combination thereof; Advanced degree preferred
  • Expertise of Compliance laws, rules, regulations, risks and typologies in APAC region; expertise in EU and or UK regions a strong plus
  • Excellent written, verbal and analytical skills
  • Must be a self-starter, flexible, innovative and adaptive; comfortable dealing with ambiguity
  • Highly motivated, strong attention to detail, team oriented, organized
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging to senior management
  • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
  • Experience with multi-manager platforms and/or derivatives volatility-focused strategies preferred
  • Experience in managing regulatory exams and relationships with examiners, auditors etc.
  • Awareness of regulatory requirements including local and US laws, international and industry standards
  • Advanced knowledge in area of focus

Apply.

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