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Capstone Investment Advisors · 23 hours ago

Compliance Officer

New York, NY

Full-time

Onsite

Senior Level

$160K/yr - $200K/yr

6+ years exp

Capstone Investment Advisors is a global asset manager focused on exploring alpha opportunities in derivatives and complementary strategies. They are seeking a Senior Compliance Officer to manage trade compliance practices and provide advisory support to trading staff, while collaborating with various teams within the firm.

ConsultingFinancial ServicesVenture Capital

Responsibilities

Manage the trade compliance practice area

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

Partner with technology teams to manage and oversee pre- and post-trade Compliance checks in proprietary system and integrate third-party software

Oversee and enforce policy and procedures for trading governance and quantitative trading activity

Review and facilitate potential Wall Cross opportunities, including administration of any relevant trading restriction and documentation

Advise on permissible transactions, such as cross trades, Regulation M offerings, ERISA suitability

Onboard and train new PMs and traders across all asset classes on Trade Compliance such as MNPI, Reg M, Reg SHO, sanctions, trade allocation, etc

Assist with Capstone’s response to inquiries and exams by regulators, including SEC and NFA / CFTC

Support the trade surveillance program by investigating trade surveillance alerts, drafting review and escalation procedures, and identifying/implementing enhancement opportunities; and

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

Qualification

Trade compliance experienceTrade surveillance knowledgeRegulation M familiarityDerivatives strategies knowledgeMS Excel skillsSQL familiarityPython familiarityJD preferredCritical thinkingProblem-solving skillsWritten communicationOral communicationAttention to detail

Required

No less than 6 years' experience in compliance at a registered investment adviser or similar role

Exceptional attention to detail, critical thinking and problem-solving skills

Excellent written and oral communication skills

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

Bachelor's degree from a reputable college or university

Strong MS Excel skills; familiarity with SQL and Python