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Compliance Officer

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 $11.1 billion of AUM and 333 employees (as of February 1, 2025), Capstone was formed in 2007 and is headquartered in New York with offices in London, Amsterdam, Milan, Los Angeles, Hong Kong, Stamford, Boston, Tokyo, Houston, and Maryland. Through strategic insight, market-leading expertise and advanced technology, we seek to anticipate and harness the complexities of world markets, creating unique opportunities for our clients, team and industry.

Overview:

The Compliance Officer will primarily assist in the day-to-day management of Capstone’s Trade Compliance program and provide advisory support to Capstone’s trading staff. They will also assist, more generally, in the implementation of Capstone’s firm-wide compliance program. 

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.

Responsibilities:

  • Manage the trade surveillance program by investigating trade surveillance alerts, drafting review and escalation procedures, and identifying/implementing enhancement opportunities
  • Support the compliance testing and monitoring plan by executing various compliance monitoring routines, developing testing procedures, and partnering with engineers to refine and automate monitoring activities
  • Oversee Capstone’s Restricted List, including restrictions related to MNPI/Inside Information, short sale prohibitions, sanctions, and other regulatory or business requirements
  • Review and facilitate potential Wall Cross opportunities, including administration of any relevant trading restriction and documentation
  • Provide “on desk” compliance advisory support for Capstone’s trading staff across diverse products, strategies, and regions, including guidance on Rule 105 of Regulation M, Regulation SHO, Cross Trades, Trade Allocations, and Best Execution
  • Support Capstone’s operational and compliance risk management activities by investigating and documenting potential trade errors and incidents, including any required post-mortems and sharing of lessons learned
  • Assist in the review of New Product Approvals and new business initiatives for regulatory and compliance risk
  • Onboard and train new PM and Traders across all asset classes on Trade Compliance matters

Additional responsibilities include:

  • Execute ad-hoc projects by partnering with technology developers and engineers to enhance the firm’s compliance systems, tools, and processes
  • Oversee and enforce policy and procedures related to systematic and quantitative trading strategies
  • Assist with Capstone’s response to inquiries and exams by regulators, including SEC and NFA / CFTC
  • Support with regulatory filings globally, including Form ADV, Section 13, Form PF, CPO-PQR; FCA and SFC-related filings
  • Engagement in Code of Ethics matters (Personal Account Dealing, Gifts and Entertainment, Conflicts of Interest etc)
  • Interpreting and analyzing the impact of changes to relevant laws, regulations, and market infrastructure

Our Future Colleague Has These Skills:

  • Bachelor's degree required
  • 3 – 7 years of experience, preferably in compliance, risk, or business controls
  • Exceptional attention to detail, critical thinking, and problem-solving skills
  • Excellent written and oral communication skills
  • Intellectual curiosity, desire to learn, and self-starter attitude
  • Ideal candidates will have direct, substantive experience with trade compliance and trade surveillance matters, including familiarity with MNPI/Inside Information, Reg M Rule 105, Reg SHO, and Market Manipulation and Market Abuse concepts
  • Knowledge of derivatives strategies and familiarity with complex financial products is helpful
  • Strong MS Excel skills; familiarity with SQL and Python a plus

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 - $155,000 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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