Compliance Officer

We see the world differently at Capstone Investment Advisors. 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 recognise 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.

The Team: 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 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.

Responsibilities and Impact: 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.

Our future colleague has these skills:

• No less than 6 years’ experience in compliance at a registered investment adviser or similar role;
• Exceptional attention to detail, critical thinking and problem‑solving skills;
• Excellent written and oral communication skills;
• Ideal candidates will have direct, substantive experience with trade compliance and trade surveillance matters, including familiarity with MNPI/Inside Information, Reg M Rule 105, Reg SHO and Market Manipulation and Market Abuse concepts;
• Knowledge of derivatives strategies and familiarity with complex financial products is helpful;
• Bachelor’s degree from a reputable college or university;
• Strong MS Excel skills; familiarity with SQL and Python a plus;
• JD preferred, but not required.

Benefits and Compensation Information: Our team is our most important asset and investment. We value and respect our colleagues and their well‑being inside and outside the workplace and our culture reflects this. We offer a robust and competitive benefits program to ensure the well‑being of our colleagues. Some benefits included in this role are:

• Training and development opportunities;
• Robust Wellness Resources: Physical, Mental and Financial;
• Time‑Off, Retirement and Commuter Benefits;
• Gym Reimbursement and other Discounts.

The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case‑by‑case basis. In addition to the base salary, this position may be eligible for performance‑based incentives.

Equal Opportunity Employer: 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.