Senior Compliance Officer

4w4 weeks ago

Capstone Investment Advisors

London, GB · Full-time · £140,000 – £200,000

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 $11.8 billion of AUM and offices worldwide including London, the firm emphasizes strategic insight and advanced technology since 2004. Join the global Legal and Compliance team as a Senior Compliance Officer based in New York City headquarters.

Lead the day-to-day management of Capstone’s Global trade compliance practice area and provide real-time advisory support to trading staff. Partner with Investment, Technology, Operations, Middle Office, Finance, and other teams on diverse products, strategies, and regions. Oversee pre- and post-trade checks, trading governance, and quantitative trading activity.

The role reports to the firm’s Head of Global Compliance within a collaborative environment focused on sharing ideas for greater outcomes. Work with a sophisticated global client base taking a human approach to performance. Gain direct exposure to senior leadership and resources across the firm.

Develop skills in a fast-paced setting by advising on Rule 105 of Regulation M, Regulation SHO, cross trades, and best execution. Facilitate Wall Cross opportunities and train new PMs and traders on MNPI, sanctions, and trade allocation. Contribute to regulator responses and trade surveillance investigations for impactful oversight.

Requirements

Intellectually curious and dynamic individual eager to develop skills in a fast-paced environment
Proactive, responsive, and able to multi-task efficiently
Ability to create relationships across Investment, Technology, Operations, Middle Office, Finance, and other teams
Driven, results-oriented with flexibility to adapt to changing circumstances and priorities
Knowledge of trade compliance rules including Rule 105 of Regulation M, Regulation SHO, cross trades, allocations, and best execution
Familiarity with SEC, NFA, and CFTC regulatory inquiries and exams
Experience providing real-time advisory support to trading staff on diverse products and strategies

Responsibilities

Manage the trade compliance practice area
Provide on-desk compliance advisory support for trading staff across diverse products, strategies, and regions including Rule 105 of Regulation M, Regulation SHO, Cross Trades, Trade Allocations, and Best Execution
Partner with technology teams to manage pre- and post-trade Compliance checks in proprietary systems and integrate third-party software
Oversee and enforce policies and procedures for trading governance and quantitative trading activity
Review and facilitate Wall Cross opportunities including administration of trading restrictions and documentation
Advise on permissible transactions such as cross trades, Regulation M offerings, and ERISA suitability
Onboard and train new PMs and traders on Trade Compliance topics like MNPI, Reg M, Reg SHO, sanctions, and trade allocation
Assist with responses to regulator inquiries and exams including SEC and NFA/CFTC