CAIS is the leading alternative investment platform, providing financial advisors with streamlined access to private equity, hedge funds, structured notes, and more.
About the role
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.
What they're looking for
- 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
More about this role
CAIS is 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. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes. CAIS also delivers industry-leading technology, operational efficiency, and world-class client service throughout the pre-trade, trade, and post-trade experience. CAIS serves over 2,500 wealth management firms that support more than 65,000 financial advisors who oversee approximately $8.5 trillion in end-client assets.
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.
The ideal candidate is a self-starter who brings strong analytical and...
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