Compliance Analyst, Finance & Banking

Overview

Capula is seeking a hardworking and analytical professional to join as their Compliance Analyst. In this role, the Compliance Analyst will work directly with and assist the Chief Compliance Officer in the US with the firm s day-to-day compliance and regulatory obligations.

• A high-impact role with direct visibility to compliance-related decision-making
• An intellectually stimulating environment with a strong culture of collaboration and curiosity, where innovation and creativity are encouraged
• The chance to refine and expand your skills while contributing to critical decision-making processes

• We are looking for individuals who thrive on intellectual challenges and enjoy applying their analytical skills to complex problems. You are curious, driven, and excited by the prospect of making a tangible impact in the world of finance
• This is your opportunity to grow professionally while working alongside highly experienced and specialized team members

• Support the firm s compliance program under the SEC Investment Advisers Act and NFA CTA Registrations and responding to routine inquiries from staff
• Primary administrator of the Code of Ethics / Core Compliance program for the US (G&E/PAD/OBI)
• Assist with trade surveillance and monitoring, system reviews for signs of market abuse, best execution
• Prepare management information presentations for relevant committees and boards
• Assist with preparing SEC/NFA and lobbyist regulatory filings, maintenance of a compliance calendar
• Assist with counter party and vendor due diligence, including KYC/AML and onboarding requests
• Assist with reviewing marketing materials
• Conduct staff compliance monitoring, including Code of Ethics compliance
• Maintain the firm s compliance logs, records and regulatory documentation
• Coordinate with compliance consultants, as needed
• Assist in regulatory audits
• Schedule and coordinate compliance training programs for employees
• Stay current on regulatory updates and industry practices
• Assist the Chief Compliance Officer with ad hoc compliance projects and initiatives

• Bachelor s degree or higher
• Must have 2-3+ years of relevant compliance experience, buy-side preferred but not necessary
• Must have ability to multitask
• Strong interpersonal and communication skills
• Detail and solution oriented
• Highly organized
• Ability to work well independently and in a team environment
• Proficiency with computer platforms and applications

Capula is dedicated to helping all employees flourish in their roles by supporting your professional development.

We will provide:

• A competitive salary and bonus scheme
• Excellent staff development and training opportunities
• 20 days PTO
• Matched 401(k) Retirement Plan contributions
• Free lunch and snacks provided in the office
• Private medical insurance and other benefits

Capula is committed to fostering a collaborative and inclusive environment, providing employees with the opportunity to develop their skills and advance their careers in the financial sector. We actively promote equality of opportunity for all with the right mix of talent, skills and potential, and welcome applications from a wide range of candidates.

The base salary for the role is between ,000 USD. Base salary is only one part of compensation packages at Capula, which includes an annual discretionary bonus and a competitive benefits package.