Capula Investment Management LLP · 20 hours ago
Compliance Analyst
New York, NY
Full-time
Onsite
Entry, Mid Level
$100K/yr - $170K/yr
2+ years expCapula Investment Management LLP is seeking a hardworking and analytical professional to join as their Compliance Analyst. In this role, the Compliance Analyst will support the Chief Compliance Officer in managing the firm's compliance and regulatory obligations, contributing to decision-making processes and compliance programs.
BankingFinanceFinancial Services
Responsibilities
Support the firm's compliance program under the SEC Investment Advisers ACT and NFA CTA Registrations and responding to routine inquiries from staff
Primary administrator of the Code of Ethics / Core Compliance program for the US (G&E/PAD/OBI)
Assist with trade surveillance and monitoring, system reviews for signs of market abuse, best execution
Prepare management information presentations for relevant committees and boards
Assist with preparing SEC/NFA and lobbyist regulatory filings, maintenance of a compliance calendar
Assist with counterparty and vendor due diligence, including KYC/AML and onboarding requests
Assist with reviewing marketing materials
Conduct staff compliance monitoring, including Code of Ethics compliance
Maintain the firm's compliance logs, records and regulatory documentation
Coordinate with compliance consultants, as needed
Assist in regulatory audits
Schedule and coordinate compliance training programs for employees
Stay current on regulatory updates and industry practices
Assist the Chief Compliance Officer with ad hoc compliance projects and initiatives
Qualification
Required
Bachelor's degree or higher
Must have 2-3+ years of relevant compliance experience, buy-side preferred but not necessary
Must have ability to multitask
Strong interpersonal and communication skills
Detail and solution oriented
Highly organized
Ability to work well independently and in a team environment
Proficiency with computer platforms and applications
Preferred
Buy-side compliance experience
Benefits
A competitive salary and bonus scheme
Excellent staff development and training opportunities
20 days PTO
Matched 401(k) Retirement Plan contributions
Free lunch and snacks provided in the office
Private medical insurance and other benefits
Company
Capula Investment Management LLP
Capula Investment Management is a global fixed income specialist firm that manages absolute return, enhanced fixed income, volatility, etc.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Rania Perry
CEO of Capula NY, Global Head of Government Relations
Recent News
2026-01-07
2025-11-10
London Stock Exchange
2025-09-12
Company data provided by crunchbase