Compliance Senior Associate

CAIS is the pioneer in democratizing access to and education about alternative investments and structured notes for independent advisors, asset managers, and bank issuers, empowering them to engage and transact on a massive scale. We believe that the combination of industry-leading technology and human interaction throughout the pre-trade, trade, and post-trade experience delivers superior operational efficiency and a world-class client experience. CAIS provides advisors with a broad selection of alternative investment strategies, including private equity, private credit, real estate, infrastructure, hedge funds, and structured notes. CAIS supports over 34,000 advisors who oversee more than $4.5 trillion in network assets.

CAIS is seeking a detail-oriented and highly organized Associate or Senior Associate to support our rapidly growing Legal and Compliance team. Primarily, the successful candidate will work closely with the Compliance Team in administering many aspects of the compliance program for a FINRA registered broker-dealer. In addition to meeting the threshold qualifications for the role, the ideal candidate will possess a self-starter attitude, strong analytical and communication skills, curiosity, strong attention to detail, and a keen interest in regulatory compliance. This is a great opportunity for an individual who would like to grow and immediately contribute within the Legal and Compliance department at a dynamic, and rapidly developing firm. 

Responsibilities 

• Ownership of FINRA Firm Gateway tasks (e.g. Form U4, Form U5, registration, monitoring of FINRA reports, handling regulatory filings)  
• Review of employee outside investment accounts, trade pre-clearance, outside business activities, disclosures, attestations 
• Day-to-Day management of third-party compliance review system  
• Electronic communications reviews; AML-related reviews (e.g., FinCEN, OFAC)  
• Assist with the review of firm marketing materials  
• Collaborate with the Compliance Team to update and implement policies and procedures 
• Support the Legal and Compliance Team in testing policies and procedures, conducting branch office examinations, and certain due diligence reviews 
• Provide support and execution with respect to all ad-hoc projects assigned by the CCO  
• Maintain strong working relationships with key stakeholders across the entire organization; provide optimal compliance-related guidance and support to the business 

Qualifications 

• 2-5 years + experience in a compliance role at a financial services firm with substantial knowledge of FINRA rules 
• Understanding of FINRA & SEC marketing/advertising rules, and the day-to-day compliance affairs of public and private funds a plus 
• Bachelor’s degree (required) 
• FINRA Series 7 and Series 24 required 
• Exemplary oral, written, and interpersonal communication skills; ability to comfortably multi-task and meet deadlines 
• Strong technical skills, excellent organizational skills, and strong follow-through mind-set 
• Ability to work with colleagues to devise pragmatic and creative solutions, and to prioritize and focus on critical tasks that add value 
• A natural ability to develop relationships, internally and externally 
• Comfortable coming into the New York City office a minimum of 3 days per week

CAIS is consistently recognized as a Best Place to Work, and our culture is at the heart of our success. We are committed to fostering an inclusive environment where employees can be their most authentic selves and feel inspired and supported to bring their voice forward to drive community, growth, and innovation. We are an equal opportunity employer, and do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law.  Learn more about our culture, benefits, and people at https://www.caisgroup.com/our-company/careers.  

CAIS’ compensation package includes a market competitive salary, a performance bonus, and exceptional benefits. If you are located in New York, New York, the base salary range for this role is $90,000 - $145,000. Actual compensation is influenced by a wide array of factors including but not limited to skill set, level of experience, and specific office location.  

CAIS offers a comprehensive benefits package that includes generously subsidized healthcare with 100% employer paid dental and vision insurance, an employer matched retirement plan, wellness programs, and generous PTO and parental leave. Additionally, CAIS offers a hybrid in-office model. For more information on our benefits and career opportunities, please visit our website: https://www.caisgroup.com/our-company/careers.