New York

Capstone Investment Advisors, LLC (“Capstone”) is looking for a qualified, enthusiastic candidate to join the firm’s global Legal and Compliance team in a Senior Compliance Officer role. This is a full-time position and based out of Capstone’s New York City headquarters.

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 European Head of Compliance. 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.

 

RESPONSIBILITIES:

The Senior Compliance Officer will lead the day-to-day management of Capstone’s Global trade compliance practice area and will provide real-time advisory support to Capstone’s trading staff.  The ideal candidate is an intellectually curious, dynamic 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 driven, results-oriented and have the flexibility to adapt to quickly changing circumstances and priorities.

• Manage the trade surveillance practice area
• Provide “on the desk” advisory support for PMs and global trading
• Partner with technology teams to implement and oversee pre- and post-trade Compliance checks in proprietary system and integrate third-party software
• Oversee and enforce policy and procedures for Electronic Trading Governance and quantitative trading activity;
• Advise on permissible transactions, such as cross trades, Regulation M offerings, ERISA suitability
• Onboard and train new PMs across all asset classes on Trade Compliance such as MNPI, Reg M, Reg SHO, sanctions, trade allocation, etc.
• Assist with global regulatory filings, including, among others: Form ADV, Section 13, Form PF, CPO-PQR; FCA and SFC-related filings
• Assist with Capstone’s response to inquiries and exams by regulators, including SEC and NFA / CFTC
• Assist with ongoing compliance testing and monitoring

 

DESIRABLE CANDIDATES:

• No less than 6 years’ experience in compliance at a registered investment adviser or similar role
• Candidates should have direct, substantive experience with trade compliance
• Knowledge of derivatives strategies and familiarity with complex financial products is helpful
• Strong MS Excel skills
• Bachelor’s degree from a reputable college or university
• JD, MBA or CPA preferred, but not required

 

Capstone is committed to creating an inclusive environment where we welcome people of different backgrounds. Capstone considers applications for employment without regard to all applicable protected characteristics, including race, color, religion, ethnicity, national origin, gender, sexual orientation, gender identity or expression, age, parental status, veteran status, or disability status.

 

BASE SALARY RANGE

$150,000 – $190,000 USD (depending on years of experience)