In-House Legal Counsel, Compliance

The In-House Legal Counsel (Compliance) is responsible for supporting and managing the firm’s compliance program to ensure adherence to legal and regulatory standards. In addition, this role will also collaborate closely with leadership and advise on corporate, commercial, employment, and regulatory matters. 

Responsibilities  

• Support and manage compliance processes and programs, ensuring adherence to laws, regulations and firm policies 

• Identify compliance program gaps, assess risk, design and implement controls, and report to leadership 

• Serve as a subject matter expert for compliance programs and provide guidance to business teams 

• Provide legal advice on other corporate, commercial, employment and regulatory matters.  

• Collaborate with Finance, HR and other departments to ensure control effectiveness 

• Develop and deliver risk-based training to strengthen awareness of regulatory and ethical standards 

• Monitor regulatory changes and update internal policies and procedures accordingly 

• Respond to regulatory inquiries and lead internal investigations when needed 

• Continuously improving compliance workflows, using data and insights to drive enhancements 

• Review, negotiate, and advise on client and vendor contracts, NDAs, and other commercial agreements 

Requirements  

• Over 5 years of experience in compliance, risk management, or related areas 

• Juris Doctor (JD) degree from an accredited law school        

• Must have successfully passed the FINRA Series 14 exam, or be willing to take and pass the exam within the first 60 days of employment                                                

• Excellent communication skills, written and verbal                                                                                    

• Self-motivated, highly organized, articulate, detail oriented and hard working 

• Deep understanding of regulatory frameworks and industry best practices 

• Ability to communicate complex compliance topics clearly and effectively 

• A solutions-oriented mindset with a focus on 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. 

We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law. 

We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.