Compliance Analyst, Finance & Banking

Capula is seeking a hardworking and analytical professional to join as their Compliance Analyst. In this new role, the Compliance Analyst will be responsible for working directly with and assisting the Chief Compliance Officer in the US with the firm's day-to-day compliance and regulatory obligations.

What We Offer:

* A high-impact role with direct visibility to compliance-related decision-making.

* An intellectually stimulating environment with a strong culture of collaboration and curiosity, where innovation and creativity are encouraged.

* The chance to refine and expand your skills while contributing to critical decision-making processes.

About You:

* We are looking for individuals who thrive on intellectual challenges and enjoy applying their analytical skills to complex problems. You are curious, driven, and excited by the prospect of making a tangible impact in the world of finance

* This is your opportunity to grow professionally while working alongside highly experienced and specialized team members

Key duties and responsibilities directly supporting the US CCO:

* 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 counter party 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