Vice President of Compliance

The Vice President of Compliance is responsible for overseeing and managing the firm’s compliance program to ensure full adherence to legal, regulatory, and internal standards. This role works closely with leadership to identify risks, implement controls, and provide guidance on compliance matters across corporate, and regulatory areas, including MNPI controls and conflict management.

Responsibilities

• Oversee compliance processes and programs, ensuring alignment with laws, regulations, and firm policies.

• Identify gaps in the compliance program, assess risks, design and implement controls, and report to senior leadership.

• Serve as a subject matter expert on compliance topics, including managing MNPI controls and conflicts between Capital Markets, Private Equity, and Corporate Advisory functions.

• Develop and maintain procedures for vetting and clearing conflicts of interest.

• Collaborate with department heads to ensure effective compliance controls.

• Design and deliver risk-based training to promote awareness of regulatory and ethical standards.

• Monitor regulatory developments, especially SEC and FINRA regulations, and update internal policies accordingly.

• Lead responses to regulatory inquiries and internal investigations related to data leaks, MNPI breaches, or policy violations.

• Continuously refine compliance workflows using data and insights to drive process improvements.

• Oversee review and negotiation of NDAs, contracts, and other commercial agreements in partnership with legal teams.

Requirements

• Over 4 years of experience in compliance, risk management, or related fields.

• Proven knowledge of SEC and FINRA regulations and experience managing regulatory audits or inquiries.

• Demonstrated ability to lead and enhance compliance programs, including enforcement of controls and training initiatives.

• Experience conducting investigations and implementing remediation plans for compliance breaches.

• Strong skills in reviewing and advising on contracts and NDAs.

• Excellent verbal and written communication skills.

• Highly organized, detail-oriented, self-driven, and collaborative.

• Deep understanding of regulatory frameworks and industry best practices.

• Ability to communicate complex compliance issues clearly and effectively.

• Solutions-focused mindset with commitment to continuous improvement.

Capstone is a leading Washington, DC-based policy analysis and regulatory due diligence firm, which advises institutional investors – hedge funds, private equity firms, and mutual funds – and companies on how public policy impacts investments, companies and business decisions. Our firm balances sophisticated policy and investment analysis in the healthcare, financial services, energy, TMT, and national security/defense sectors, and advises some of the largest and most sophisticated institutional investors and companies in the U.S. and Europe. 

Capstone offers a competitive benefits package, including health, vision, dental insurance, paid vacation, travel stipend and 401(k). The expected compensation for this role will be $150,000-$170,000 per annum with eligibility in Capstone's annual bonus pool. 

This position may be based in our Washington, DC or Houston office. Capstone is in-person Monday through Thursday with flexible work from home Fridays.