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Salary: USD 100,000 - 145,000 / annual
CAIS is a fintech platform democratizing access to alternative investments for independent financial advisors. The company serves over 2,500 wealth management firms representing 65,000+ advisors managing approximately $8.5 trillion in end-client assets. CAIS Capital LLC is a FINRA-member broker-dealer seeking a detail-oriented Compliance Officer to join its Legal and Compliance team.
The role involves administering core compliance functions for a growing financial services organization. Key responsibilities include managing FINRA registration and regulatory processes such as Firm Gateway administration, Form U4/U5 filings, and FINRA report monitoring. The position oversees employee compliance and personal trading activities, including reviews of outside investment accounts, trade pre-clearance requests, outside business activities, and employee attestations.
Day-to-day duties encompass managing compliance systems, escalating and resolving compliance matters, conducting surveillance of electronic communications, and reviewing marketing materials for regulatory compliance. The role partners with the Compliance Team to enhance the firm's compliance framework as the business and regulatory environment evolve. Additional responsibilities include conducting branch office examinations, testing policies and procedures, supporting compliance-related due diligence reviews, and supporting strategic compliance initiatives directed by the Chief Compliance Officer.
The ideal candidate is a self-starter with strong analytical and communication skills, exceptional attention to detail, intellectual curiosity, and genuine interest in regulatory compliance. 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 a dynamic, growing organization.
