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

New York

Senior Compliance Officer

 

Key Responsibilities: 

  • Work closely with the GC/CCO in drafting, maintaining, and implementing all compliance and conflicts of interest policies, including: the firm’s compliance manual, annual compliance review, and policies relating to code of ethics, personal trading, and expense and trade allocations
  • Completion of all SEC, NFA, and FCA regulatory filings with support from Back Office (i.e., ADV, PF, 13D-F-G-H, Form D, CPO PQR and PFS, GABRIEL filings, MiFID II, etc.)
  • Conduct the firm’s compliance testing and monitoring activities, including the review of trading and portfolio management activity, forensic testing, various trade surveillance reports and electronic communications
  • Provide real-time trading advice across all of the firm’s business units, and assess compliance/regulatory risk in the firm’s trading processes
  • Help organize the firm’s regulatory exams, mock exams, and regulatory/exchange inquiries
  • Assist with the firm’s Annual 206(4)-7 Compliance Review
  • Advise on domestic and foreign jurisdictional marketing efforts, including marketing materials and client onboarding compliance matters such as fund guidelines
  • Assist with the firm’s cybersecurity, BCP, privacy, MiFID II, and GDPR initiatives
  • Oversee the firm’s Code of Ethics (i.e., personal trading policy, political contributions, etc.)
  • Interpret and analyze the impact of change to relevant laws, regulations, and market infrastructure as it relates to compliance risk
  • Conduct employee compliance training
  • Provide strong compliance support and execution with respect to all critical ad-hoc projects
  • Other duties as assigned

Desirable Candidates:

  • 5 -10+ years relevant experience managing a global compliance program (fund experience preferred). JD degree preferred, but not required
  • Prior experience working in a compliance function with knowledge of the Advisors Act, CFTC Rules and Regulations, NFA Rules, and other global regulatory agencies
  • Knowledge of trading rules, derivatives markets and familiarity with complex financial products is appreciated
  • Ability to work independently/under minimal supervision
  • Displays a high level of professionalism, accountability, discretion and maintains confidentiality of all sensitive matters
  • Excellent written communication skills with an aptitude for technology
  • Familiar working in a fast-paced, high-pressure environment with multiple deadlines

Apply.

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