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Full-Time

Compliance Senior Associate

Confirmed live in the last 24 hours

CAIS

CAIS

201-500 employees

Fintech platform connecting advisors with asset managers

Fintech

Compensation Overview

$90k - $145kAnnually

+ Bonus

Mid, Senior

New York, NY, USA

Category
Risk & Compliance
Legal & Compliance
Required Skills
Communications
Marketing
Requirements
  • 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
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

CAIS is a leading fintech platform that offers a unique working environment where employees can directly contribute to simplifying complex financial transactions between independent financial advisors and top-tier alternative asset managers. The company has facilitated over $25 billion in transaction volume, demonstrating its success and reliability in a high-stakes industry. By joining this team, you'll work at the intersection of technology and finance, helping to empower thousands of advisors managing trillions in assets, which can be incredibly rewarding and impactful for career growth.

Company Stage

Series B

Total Funding

$306M

Headquarters

New York, New York

Founded

2009

Growth & Insights
Headcount

6 month growth

5%

1 year growth

11%

2 year growth

33%