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Compliance Associate

New York, New York

We see the world differently at Capstone Investment Advisors. You will, too.

Capstone is a global, alternative investment management firm operating across a broad range of derivatives-based strategies with a deep understanding of volatility. With approximately $12 billion of AUM and 315 employees (as of June 1, 2024, Capstone was formed in 2007 and is headquartered in New York with offices in London, Amsterdam, Hong Kong, Tokyo, Los Angeles, Stamford, Boston, and Milan.

At Capstone, we constantly aim to expand our view of how WE SEE THE WORLD DIFFERENTLY® in order to create opportunity. Our commitment to provoking the evolution of asset management provides us with a perpetual hunger for knowledge that we believe drives the improvement of our particular approach to investment.

We seek to harness the complexities of global derivatives markets with disciplined strategic insight, an experienced, accomplished team and advanced technology to create sustainable value. We’ve created a particular approach to investment that we believe drives continuous improvement and opportunities for our clients, team and industry. 

The Team:

Capstone is looking for a qualified, enthusiastic candidate to join the firm’s global Legal and Compliance team in a Compliance Associate role. This is a full-time position based out of Capstone’s New York City headquarters. The Compliance Associate will be part of Capstone’s global Legal and Compliance team and will report to the firm’s Head of Global 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 obligations.

Responsibilities and Impact:

The Compliance Associate will be engaged in a broad variety of compliance matters, which will include managing Capstone’s regulatory reporting function and assisting in the day-to-day implementation of other aspects of Capstone’s compliance program.

  • Managing Capstone’s regulatory filings on a global scale, including Form ADV, Form PF, CPO-PQR, AIFMD Annex IV, Section 13, FCA and SFC-related filings
  • Identifying, interpreting and preparing for new rules and regulations applicable to Capstone
  • Lead efforts to communicate relevant regulatory changes and determine if they require updates to Capstone’s Compliance program
  • Assisting with Capstone’s response to inquiries and exams by regulators, including the U.S. SEC and NFA / CFTC
  • Assisting in Capstone’s 206(4)-7 Annual Review process
  • Assisting with Capstone’s testing and monitoring program
  • Involvement in special firmwide projects

Our future colleague has these skills:

The ideal candidate is an intellectually curious self-starter, 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, 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.

  • 2-6 years experience in compliance at a registered investment adviser
  • Direct experience with the following: regulatory reporting (preferably on a global scale) and preparing for new rules and regulations
  • Bachelor’s degree from a recognized college or university

Benefits and Compensation Information: 

Our team is our most important asset and investment. We value and respect our colleagues and their well-being inside and outside the workplace and our culture reflects this.  We offer a robust and competitive benefits program to ensure the well-being of our colleagues.

Some benefits included in this role are:

  • Training and development opportunities
  • Robust Wellness Resources: Physical, Mental and Financial
  • Time-Off, Retirement and Commuter Benefits
  • Gym Reimbursement and other Discounts

The applicable base salary range for this role is $110,000 - $150,000 USD. The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.

Equal Opportunity Employer: 

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.

To learn even more about being part of the team, visit us online: Careers - Capstone (capstoneco.com)

Don’t forget to follow us on LinkedIn

 

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