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 all applicable legal and regulatory standards. This role collaborates closely with leadership and provides expert advice on corporate and regulatory matters, with a particular focus on managing MNPI controls, conflict of interest procedures, and regulatory audits.

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

• Identify compliance program gaps, assess risks, design and implement effective controls, and report findings to leadership.

• Serve as a subject matter expert on compliance matters, including MNPI controls and conflict management between Capital Markets, Private Equity, and Corporate Advisory functions.

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

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

• Collaborate with department heads to ensure the effectiveness of compliance controls.

• Develop and deliver risk-based training programs to raise awareness of regulatory and ethical standards.

• Monitor regulatory changes, especially related to SEC and FINRA regulations, and update internal policies and procedures accordingly.

• Respond to regulatory inquiries and lead internal investigations, including those related to data/MNPI leaks and policy breaches.

• Continuously improve compliance workflows using data-driven insights.

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

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

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

• Successful completion of the FINRA Series 14 exam, or willingness to pass within the first 60 days of employment.

• Strong working knowledge of SEC and FINRA regulations.

• Experience managing regulatory audits or inquiries from FINRA or the SEC.

• Expertise in managing compliance programs, including process optimization, control enforcement, and training delivery.

• Proven experience in conducting investigations and remediation efforts, such as MNPI leaks or policy breaches.

• Ability to review and negotiate NDAs, contracts, and other commercial agreements.

• Excellent written and verbal communication skills.

• Self-motivated, highly organized, detail-oriented, and hardworking.

• Deep understanding of regulatory frameworks and industry best practices.

• Ability to clearly communicate complex compliance topics.

• Solutions-oriented mindset focused 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.