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    Compliance Senior Associate - New York, United States - CAIS

    CAIS
    CAIS New York, United States

    3 weeks ago

    Default job background
    Description

    CAISis the pioneer in democratizing access to and education about alternative investments for independent financial advisors, empowering them to engage and transact with leading asset managers on a massive scale through

    a wide variety of alternative investment products and technology solutions.


    CAISprovides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes.


    CAISalso delivers industry-leading technology, operational efficiency, and world-class client service throughout the pre-trade, trade, and post-trade experience.


    CAISsupports over 32,000 advisors who oversee more than

    $4 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, t

    he ideal candidate will

    possess

    a

    self-starter attitude

    ,

    strong analytical and communication skills

    ,

    curiosity,

    strong attention

    to detail

    ,

    an

    d

    a keen interest in regulatory compliance

    .

    This is

    a great opportunity

    for an individual who would like to grow

    and

    immediate

    ly

    contribute

    within the Legal and Compliance department

    at

    a

    dynamic, and rapidly developing firm.

    Responsibilities

    Ownership of
    FINRAFirm Gateway tasks (

    e.g.

    Form U4, Form U5, registration,

    monitoring

    of


    FINRAreports, handling regulatory filings)

    Review of employee outside investment accounts, trade pre-clearance, outside business activities, disc

    losures, attestations

    Day-to-Day management of third-party compliance review system

    Electronic communications reviews

    ;

    A

    ML-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 procedure

    s

    Support the

    Legal and Compliance Team in

    testing policies

    and

    procedures, conducting

    branch office

    examinations, and

    certain

    due diligence review

    s

    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
    FINRArules

    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)


    FINRASeries 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



    CAISis 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

    .

    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.



    CAISoffers 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,
    CAISoffers a hybrid in-office model.

    For more information on our benefits and career opportunities, please visit our website:

    .

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