Date Posted:
May 11, 2026
Position Title:
Vice President of Compliance
Office/Company:
Capstone
Party:
N/A
Office Code:
Job Number:
HC-06489
Reports To:
Location:
Washington, DC | Houston, TX
Contact:
Salary:
$150,000–$170,000 per annum
Primary Role
Secondary Role:
Job Type:
Full Time
Description:
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.Oversee compliance processes and programs, identify gaps in the compliance program, assess risks, design and implement controls, and report to senior leadership.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.
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.
Qualifications:
• 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.
Instructions:
Email <ddress>
Other:
Equal opportunity employer.
