Compliance Officer – FINRA-Focused, Hybrid Role

CAIS; New York (NY); Hybride; USD 100 000 - 145 000; Plein temps

Avantages offerts par ce poste

Hybrid in-office (3 days)

Comprehensive benefits

Retirement plan

Generous PTO & parental leave

Résumé du poste

CAIS, a leader in democratizing access to alternative investments, seeks an Associate/Senior Associate for its Legal and Compliance team in New York. You will manage FINRA registration, review employee trading, and oversee compliance systems, while supporting policy enhancements in a fast-moving environment.

The role requires 2–5 years in financial services compliance, FINRA Series 7 and 24 licenses, and strong communication and organizational abilities. Hybrid work with robust benefits awaits.

Qualifications

• 2–5 years in a compliance role at a financial services firm with substantial knowledge of FINRA rules.
• Understanding of FINRA & SEC marketing/advertising rules; funds knowledge is a plus.
• Bachelor’s degree required; Series 7 and Series 24 licenses required.
• Strong communication, organizational skills, and ability to multi-task and meet deadlines.
• Ability to develop relationships and prioritize critical tasks.

Responsabilités

• Handle key FINRA registration and regulatory processes including Firm Gateway administration and Form U4/U5 filings.
• Administer employee compliance and personal trading activities, including pre-clearance and disclosures.
• Manage day-to-day operation of compliance systems and issue resolution.
• Conduct routine surveillance of electronic communications.
• Review marketing materials for regulatory compliance.
• Partner to enhance compliance framework as business/regulation evolves.
• Participate in branch examinations, policy testing, and due diligence reviews.
• Support strategic compliance initiatives and leadership directives.
• Maintain relationships across the organization to provide guidance.

Connaissances

FINRA rules knowledge

Oral communication

Written communication

Multi-tasking

Organizational skills

Relationship building

Formation

Bachelor’s degree

Outils

FINRA Series 7 license

FINRA Series 24 license

Description du poste

CAIS, a leader in democratizing access to alternative investments, seeks an Associate/Senior Associate for its Legal and Compliance team in New York. You will manage FINRA registration, review employee trading, and oversee compliance systems, while supporting policy enhancements in a fast-moving environment.

The role requires 2–5 years in financial services compliance, FINRA Series 7 and 24 licenses, and strong communication and organizational abilities. Hybrid work with robust benefits awaits.