Compliance Officer, CAIS
$100-145k
+ Performance bonus
3+ days a week in office
Alternative investment platform
Be an early applicant
Alternative investment platform
501-1000 employees
Be an early applicant
$100-145k
+ Performance bonus
3+ days a week in office
501-1000 employees
Company mission
To democratise access for independent financial advisors by breaking down barriers that prevent them from connecting with experienced alternative asset managers.
Role
Who you are
- The ideal candidate is a self-starter who brings strong analytical and communication skills, exceptional attention to detail, intellectual curiosity, and a genuine interest in regulatory compliance
- We are looking for someone who is comfortable taking ownership, navigating multiple priorities, and operating in a dynamic and evolving environment
- 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 licenses (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
What the job involves
- CAIS is seeking a detail-oriented, highly organized, and proactive Associate or Senior Associate to join our Legal and Compliance team
- This individual will play an important role in supporting and administering key elements of the core compliance program for CAIS Capital LLC, a FINRA-member broker-dealer
- This is an opportunity to gain broad exposure to broker-dealer compliance, take meaningful ownership of core compliance functions, and make an immediate impact within the Legal and Compliance department of a growing organization
- Handling key FINRA registration and regulatory processes, including Firm Gateway administration, Form U4 and Form U5 filings, registration processing, miscellaneous regulatory filings, and monitoring of FINRA reports
- Administering employee compliance and personal trading activities, including reviews of outside investment accounts, trade pre-clearance requests, outside business activities, disclosures, and employee attestations
- Managing the day-to-day operation of compliance systems, effective administration, escalation, and resolution of compliance matters
- Conducting routine surveillance and monitoring of electronic communications
- Supporting the review of marketing and communications materials for compliance with applicable regulatory requirements and firm policies
- Partnering with the Compliance Team to enhance the company’s compliance framework, including the implementation of policies and procedures as the business and regulatory environment evolves
- Participating in compliance oversight activities including, conducting branch office examinations, testing policies and procedures, and supporting compliance-related due diligence reviews
- Supporting strategic and ad hoc compliance initiatives at the direction of the Chief Compliance Officer and broader Legal and Compliance leadership
- Maintaining strong relationships across the organization, providing optimal compliance-related guidance and support to the business
Application process
- We use technology, including AI tools, to support parts of our recruitment process such as application screening, interview scheduling, and candidate communications. These tools are used to improve efficiency and consistency, but they do not replace human judgement
- All hiring decisions are made by people, and we are committed to fair and unbiased assessment of every candidate
Our take
Financial advisors often face challenges in accessing education and alternative investment funds due to the absence of an integrated platform for discovering these opportunities. This gap can hinder their ability to offer clients diverse investment options and make informed decisions.
CAIS addresses this need by providing an online marketplace that facilitates direct communication between financial advisors and asset managers regarding alternative investments. The platform sources expert advice across various sectors, including hedge funds, private equity, credit, real estate, and digital assets, allowing advisors to access valuable insights and opportunities.
With thousands of financial advisors utilising its services, CAIS oversees more than $1.2T in assets. The company has partnered with major custodians like Fidelity and Schwab, collectively managing over $6T in assets for more than 15,000 advisors. Following substantial funding and achieving unicorn status in 2022, CAIS is now focused on advancing its technology, enhancing customer experiences, and digitising product operations for both fund managers and financial advisors
Kirsty
Company Specialist at Welcome to the Jungle
Insights
17% employee growth in 12 months
Company
Funding (last 2 of 6 rounds)
Apr 2022
$100m
LATE VC
Jan 2022
$225m
SERIES C
Total funding: $395m
Company benefits
- Healthcare & wellness: We offer highly subsidized medical, dental, vision plan options, and monthly reimbursements to support your lifestyle outside of work
- Coverage Waiver Allowance: Have benefits through another source? Receive a monthly allowance for waiving coverage
- Voluntary benefits: Enjoy discounted pricing on virtual marketplace retail benefits, pet insurance, legal, identity theft, critical illness, hospital coverage, and additional life and AD&D insurance
- Paid parental leave: New parents receive up to 16 weeks of fully paid leave
- Flexible PTO: Take the time you need in coordination with your team and manager. Plus, enjoy nine paid holidays throughout the year
- 401(k) matching: Participate in a comprehensive 401(k) plan with a 4% match
- Free Food: Take advantage of our in-office lunch program and a fully stocked kitchen
- Team events: Join our monthly happy hours, team building activities, and other events to ensure we stay connected
Company HQ
Midtown East, New York, NY
Leadership
Matt Brown
(Founder & CEO)Previously the Founder and Managing Principal at Brown Simpson Asset Management for 5 years and Managing Director at Fairfield Greenwich Group for 3 years.
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