Senior Compliance Officer

1w1 week ago

Capstone Investment Advisors

London, GB · Full-time · £90,000 – £150,000

About this role

Capstone Investment Advisors is a global asset manager dedicated to exploring alpha opportunities in derivatives and complementary strategies across market cycles. With approximately $11.8 billion of AUM and offices in London among others, join the global Legal and Compliance team as Senior Compliance Officer based in New York headquarters. Lead day-to-day management of the Global trade compliance practice area.

Provide real-time on-desk compliance advisory support to trading staff across diverse products, strategies, and regions, including guidance on Rule 105 of Regulation M, Regulation SHO, Cross Trades, and Best Execution. Partner with technology teams to manage pre- and post-trade compliance checks in proprietary systems. Oversee policy and procedures for trading governance and quantitative trading activity.

Report to the Head of Global Compliance within a collaborative team focused on legal, compliance, and regulatory operations. Build relationships across Investment, Technology, Operations, Middle Office, and Finance teams. Work in a fast-paced environment emphasizing proactive, responsive multi-tasking.

Access greater resources, direct exposure to senior leadership, and opportunities to experiment and innovate through shared ideas. Develop skills while advising on Wall Cross opportunities, permissible transactions, and regulator responses. Contribute to disciplined collaboration and transcendent thinking at Capstone.

Requirements

Intellectually curious and dynamic individual for fast-paced environment
Proactive, responsive, and able to multi-task efficiently
Ability to create relationships across Investment, Technology, Operations, Middle Office, and Finance teams
Driven, results-oriented with flexibility to adapt to changing priorities
Knowledge of Rule 105 of Regulation M, Regulation SHO, cross trades, trade allocations, best execution
Familiarity with Wall Cross processes, ERISA suitability, sanctions, MNPI handling
Experience providing real-time advisory to trading staff in asset management
Understanding of SEC, NFA/CFTC regulatory inquiries and exams

Responsibilities

Manage the trade compliance practice area
Provide on-desk compliance advisory support for trading staff across diverse products, strategies, and regions
Partner with technology teams to manage and oversee pre- and post-trade compliance checks
Oversee and enforce policy and procedures for trading governance and quantitative trading activity
Review and facilitate potential Wall Cross opportunities, including trading restrictions and documentation
Advise on permissible transactions such as cross trades, Regulation M offerings, ERISA suitability
Onboard and train new PMs and traders on trade compliance including MNPI, Reg M, Reg SHO, sanctions, trade allocation
Assist with responses to regulator inquiries and exams including SEC and NFA/CFTC
Support the trade surveillance program by investigating alerts