# Compliance Officer at CAIS

- Company: CAIS
- What the company does: CAIS is the leading alternative investment platform, providing financial advisors with streamlined access to private equity, hedge funds, structured notes, and more.
- Company website: https://www.caisgroup.com
- Type: Startups
- Level: Mid level
- Location: New York, New York
- Work setup: On-site
- Pay: $100K to $145K base salary per year (USD)
- Posted: 2026-09-09
- Apply by: 2026-10-24
- Apply: https://job-boards.greenhouse.io/cais/jobs/8720970002
- Page: https://www.1752.vc/careers/jobs/cais-compliance-officer/

## 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

Tags: Legal & Compliance