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    Senior Trading Compliance Officer - New York, United States - Capstone Investment Advisors

    Capstone Investment Advisors
    Capstone Investment Advisors New York, United States

    3 weeks ago

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    Description

    RESPONSIBILITIES:

    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, 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.

    Manage the trade surveillance practice areaProvide "on the desk" advisory support for PMs and global tradingPartner with technology teams to implement and oversee pre- and post-trade Compliance checks in proprietary system and integrate third-party softwareOversee and enforce policy and procedures for Electronic Trading Governance and quantitative trading activity;Advise on permissible transactions, such as cross trades, Regulation M offerings, ERISA suitabilityOnboard and train new PMs across all asset classes on Trade Compliance such as MNPI, Reg M, Reg SHO, sanctions, trade allocation, etc.


    Assist with global regulatory filings, including, among others:
    Form ADV, Section 13, Form PF, CPO-PQR; FCA and SFC-related filingsAssist with Capstone's response to inquiries and exams by regulators, including SEC and NFA / CFTCAssist with ongoing compliance testing and monitoring


    DESIRABLE CANDIDATES:

    No less than 6 years' experience in compliance at a registered investment adviser or similar roleCandidates should have direct, substantive experience with trade complianceKnowledge of derivatives strategies and familiarity with complex financial products is helpfulStrong MS Excel skillsBachelor's degree from a reputable college or universityJD, MBA or CPA preferred, but not required 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.

    BASE SALARY RANGE$, – $, USD (depending on years of experience)
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