Compliance Officer, Finance & Banking

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

Capstone Investment Advisors, LLC (“Capstone”) is a global asset manager, dedicated to exploring alpha opportunities in derivatives and complementary strategies that persist across market cycles. With approximately $11.8 billion of AUM (as of November 1, 2025) and 326 employees, Capstone is headquartered in New York with offices in London, Amsterdam, Stamford, Los Angeles, Boston, Tokyo, Milan, Texas, and Maryland. Since 2004, through strategic insight, market-leading expertise, and advanced technology, we have sought to anticipate and harness the complexities of world markets, creating unique opportunities for our clients, team, and industry.

With our sophisticated, global client base, we recognize that our success is deeply connected to real people. For that reason, we take a human approach to everything we do, focusing largely on collaborative performance. Our workflow and process are built around the belief that by sharing ideas, we achieve greater outcomes. This gives you greater access to resources, direct exposure to senior leadership, and new opportunities to experiment and innovate.

Learn more about how you can be part of the disciplined collaboration and transcendent thinking as a Senior Compliance Officer at Capstone Investment Advisors 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 and based out of 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 will provide real‑time advisory support to Capstone’s trading staff. 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. The candidate should also have 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.

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 operations. The Senior Compliance Officer will report to the firm’s Head of Global Compliance.

As a Senior Compliance Officer on the Legal and Compliance Team, you will:

• 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;
• 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

• No less than 6 years’ experience in compliance at a registered investment adviser or…