Compliance Officer, Finance & Banking

Overview

Capstone Investment Advisors, LLC (“Capstone”) is a global asset manager dedicated to exploring alpha opportunities in derivatives and complementary strategies. Capstone has approximately $11.8 billion of AUM (as of November 1, 2025) and 326 employees, with headquarters in New York and offices in London, Amsterdam, Stamford, Los Angeles, Boston, Tokyo, Milan, Texas, and Maryland. Since 2004, Capstone has focused on strategic insight, market-leading expertise, and advanced technology to anticipate and harness market complexities for clients, the team, and the industry.

The firm emphasizes a human approach and collaborative performance, with access to resources and exposure to senior leadership to support experimentation and innovation.

Learn more about being part of Capstone as a Senior Compliance Officer here.

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 based at Capstone’s New York City headquarters.

The Senior Compliance Officer will lead the day-to-day management of Capstone’s Global trade compliance practice area and provide real-time advisory support to Capstone’s trading staff. The ideal candidate is intellectually curious, dynamic, proactive, responsive, and capable of multitasking. The role requires collaboration across Capstone with the Investment, Technology, Operations, Middle Office, Finance, and other teams. The candidate should be driven, results-oriented, and adaptable to changing priorities.

The Senior Compliance Officer will report to the Head of Global Compliance and will work with a team that provides oversight and counsel for the firm’s legal, compliance, and regulatory operations.

• Manage the trade compliance practice area;
• Provide on-desk compliance advisory support for Capstone’s trading staff across 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 systems 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 relevant trading restrictions and documentation;
• Advise on permissible transactions, such as cross trades, Regulation M offerings, ERISA suitability;
• Onboard and train new PMs and traders across 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/enhancement opportunities; and
• Support the compliance testing and monitoring plan by executing monitoring routines, developing testing procedures, and partnering with engineers to refine and automate monitoring activities.

• 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 MNPI/Inside Information, Reg M Rule 105, Reg SHO, 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 is a plus;
• JD preferred, but not required.

Our team is our most important asset, and we value the well-being of colleagues inside and outside the workplace. Capstone offers a robust and competitive benefits program. Some benefits included in this role are:

• Training and development opportunities;
• Robust Wellness Resources:
  Physical, Mental, and…