Compliance Associate

CAIS is building the first truly open marketplace for alternative investments, where financial advisors and asset managers can engage and transact directly on a massive scale.  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, allowing them to capitalize on opportunities and/or withstand ever-changing markets. Additionally, CAIS provides an industry leading learning system, CAIS IQ, that helps advisors learn faster, remember longer, and improve client outcomes. 

CAIS is seeking a detail-oriented and highly organized Compliance Associate to support our rapidly growing Legal and Compliance team. Primarily, the successful candidate will work closely with the Chief Compliance Officer (“CCO”) in administering many aspects of the compliance program for a registered broker-dealer. The ideal candidate will possess a driven personality, curiosity, and a strong attention to detail. This is a great opportunity for an individual who would like to grow, as an individual and colleague, within the Legal and Compliance department and at a dynamic, and rapidly developing firm. 

Responsibilities 

• Help monitor firm wide FINRA registrations, licensing, training, and continuing education 
• Support the review and approval of employees’ personal accounts, personal trading, outside business activities, disclosures, and attestations  
• Collaborate with the Chief Compliance Officer to complete and update compliance reviews of electronic communications and social media
• Assist with review of firm marketing materials and certain marketing materials for private fund clients 
• Support the review and evaluation of third-party compliance vendors
• Help create and update FATCA reporting and various regulatory filings
• Support the legal and compliance team to perform regulatory exams, mock exams, regulatory/exchange inquiries, and due diligence reviews
• Assist with maintenance and updating of sections of electronic due diligence databases
• Provide support and execution with respect to all ad-hoc projects assigned by CCO 

Qualifications 

• 2 years’ experience in a compliance role at a financial services firm with substantial knowledge of FINRA rules.  
• Familiarity with marketing/advertising rules under the Investment Advisers Act of 1940, the Investment Company of 1940, and the day-to-day compliance affairs of public and private funds a plus.
• Bachelor’s degree (required)
• FINRA Series 7 and Series 24 strongly required
• Exemplary oral, written, and interpersonal communication skills
• 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