Compliance Officer
Capstone Investment Advisors(20 days ago)
About this role
A Senior Compliance Officer at Capstone Investment Advisors will join the firm’s global Legal and Compliance team based in New York, supporting the firm’s trade compliance practice within a global asset management firm. The position is full-time and offers exposure to senior leadership and cross-functional collaboration across investment, technology, operations, and finance teams. Capstone manages diversified strategies with approximately $11.8 billion AUM and emphasizes a collaborative, human-centered culture.
Required Skills
- Trade Compliance
- Trade Surveillance
- Regulation M
- Regulation SHO
- MNPI
- Derivatives
- Excel
- SQL
- Python
- Communication
+2 more
Qualifications
- Bachelor's Degree
- JD Preferred
About Capstone Investment Advisors
capstoneco.comCapstone is a strategic investment and advisory firm that partners with growth-stage and middle-market companies to accelerate value through capital raising, mergers & acquisitions, and hands-on operational support. It offers corporate finance and transaction advisory services alongside portfolio development and strategic consulting, drawing on experienced operators and capital markets professionals. Clients choose Capstone for tailored deal execution, pragmatic operational guidance, and access to a broad network of investors and strategic partners.
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