Job summary
Job post source
This job is directly from Capstone
Job overview
The Vice President of Compliance at Capstone oversees the firm's compliance program to ensure adherence to legal and regulatory standards, impacting risk management and corporate governance.
Responsibilities and impact
The role involves managing compliance processes, identifying risks, implementing controls, providing compliance guidance, conducting training, monitoring regulatory changes, leading investigations, and overseeing contract reviews.
Compensation and benefits
The position offers a salary range of $150,000-$170,000 per year, eligibility for an annual bonus, and benefits including health, vision, dental insurance, paid vacation, travel stipend, and a 401(k) plan.
Experience and skills
Candidates need over 4 years of compliance or risk management experience, knowledge of SEC and FINRA regulations, skills in managing audits, investigations, contract review, and strong communication and organizational abilities.
Work environment and culture
Capstone operates in-person Monday through Thursday with flexible work-from-home Fridays, emphasizing a collaborative and inclusive environment as an equal opportunity employer.
Company information
Capstone is a Washington, DC-based policy analysis and regulatory due diligence firm advising institutional investors and companies across sectors like healthcare, financial services, energy, TMT, and national security.
Job location and travel
The role is based in either the Washington, DC or Houston office with a hybrid work schedule allowing remote work on Fridays.
Unique job features
The job features involvement in sophisticated policy and investment analysis and direct interaction with regulatory frameworks and senior leadership, distinguishing it from typical compliance roles.
Company overview
Capstone is a diversified company specializing in the development and deployment of innovative energy solutions, primarily focusing on microturbine technology. They generate revenue through the sale of microturbine products, maintenance services, and long-term service agreements. Founded in 1988, Capstone has a rich history of pioneering clean energy technologies that provide reliable, low-emission power generation. The company is known for its commitment to sustainability and has established a strong presence in various industries, including oil and gas, renewable energy, and transportation.
How to land this job
Tailor your resume to emphasize your leadership in compliance programs, risk management, and your deep knowledge of SEC and FINRA regulations to align with Capstone's expectations for the Vice President of Compliance role.
Highlight your experience in overseeing compliance controls, managing MNPI and conflict of interest processes, and leading regulatory audits or investigations, as these are key responsibilities outlined in the job description.
Apply through multiple channels including Capstone's corporate careers page, LinkedIn, and reputable job boards to maximize your chances and visibility for this position.
Connect on LinkedIn with current Capstone compliance team members or leadership, using ice breakers like commenting on recent regulatory challenges in the financial sector or asking about the firm's approach to compliance innovation to build rapport.
Optimize your resume for ATS by incorporating keywords such as 'compliance program management,' 'SEC and FINRA regulations,' 'MNPI controls,' 'risk assessment,' 'regulatory audits,' and 'conflict management' to ensure it passes automated screenings.
Use Jennie Johnson's Power Apply feature to automate tailored applications across multiple platforms, identify and reach out to relevant Capstone contacts on LinkedIn, and optimize your resume for ATS, allowing you to focus your time on preparing for interviews and networking.
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