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

New York

Trade Surveillance Compliance Officer


The primary areas of responsibility will be performing core compliance “Control Room” functions which include, but are not limited to:
• Trading surveillance
• Regulatory reporting (e.g., Section 13, EU Short Sale Reporting)
• Maintenance of proxy voting and corporate actions
• Assist in implementing information barrier policies and procedures by maintaining the restricted list and handling conflicts clearance
• Research provider review and clearance
• Review of documentation associated with Equity Capital Markets transactions (e.g., Exchange Agreements, IPO/Secondary SEC filings)
• Chaperoning interaction between Company Management and Investment personnel
• Providing advice and guidance to business partners
• Monitor employee personal trading and electronic communications
• Perform compliance testing/surveillance
• Make recommendations to develop or enhance business unit procedures as they relate to the Compliance Control Room


• At least 3 years relevant experience with a bachelor’s degree
• Experience working on an equity or convertible bond trading desk is a plus
• Strong sense of ethics, accountability, and judgment
• Highly organized, detail oriented and proactive
• A working knowledge of the US, UK and EU financial regulation framework including applicable SEC, NFA and FCA rules and reporting requirements, and relevant industry standards
• Ability to work independently as well as part of a team
• Ability to comfortably interact with senior professionals in a professional setting
• Strong verbal and written communication skills
• Strong MS Excel and PowerPoint skills



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