Senior Compliance Officer
We are looking for a qualified, enthusiastic candidate to join our global Legal and Compliance team in a Senior Compliance Officer role. This is a full-time position and can be based out of Capstone’s New York City headquarters or the firm’s satellite office in Stamford, CT.
The Senior Compliance Officer will be part of Capstone’s global Legal and Compliance team, comprised of 11
total team members, and will report to the firm’s General Counsel and 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 operations.
The Senior Compliance Officer will be engaged in a broad variety of compliance matters. The Senior
Compliance Officer will lead the day-to-day management of Capstone’s U.S. compliance program. In
addition, the Senior Compliance Officer will be responsible for Capstone’s annual 206(4)-7 compliance review
as well as monitoring, managing and maintaining Capstone’s global regulatory reporting obligations and
Global Compliance Manual. The Senior Compliance Officer will also lead the Compliance team’s
contributions to cross-team 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.
- Lead efforts to draft, maintain and implement compliance policies and procedures; responsible for
ongoing maintenance of Capstone’s Global Compliance Manual
- Coordinate global regulatory filings, including, among others: Form ADV, Form PF, CPO-PQR; FCA and
- Lead Capstone’s response to inquiries and exams by regulators, including SEC and NFA / CFTC
- Manage Capstone’s annual 206(4)-7 Compliance Review; assist in ongoing compliance testing and
- Monitor and maintain Capstone’s Regulatory Radar tracker related to pending rules and regulations
applicable to the firm; lead efforts to update Capstone’s compliance program in advance of such
- Provide real-time trade compliance advice across Capstone investment teams
- Advise on U.S. and non-U.S. marketing of Capstone’s commingled private funds
- Assist with Capstone’s cybersecurity initiatives
- Help build Capstone’s annual compliance training program
- No less than 10 years’ experience in compliance at a registered investment adviser.
- Candidates should have direct experience with trade compliance, regulatory reporting (preferably on
a global scale) and leading a compliance annual review.
- Knowledge of derivatives strategies and familiarity with complex financial products is helpful.
- Bachelor’s degree from a reputable college or university.
- JD, MBA or CPA preferred, but not required.
BASE SALARY RANGE
$110,000 – $190,000 USD