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Compliance Officer

CAIS
Location
New York, New York
Posted
11 days ago
Department
Legal & Compliance
Salary
$100,000 - $145,000
What they actually want (must-haves)
  • 2-5 years + experience in a compliance role at a financial services firm
  • Substantial knowledge of FINRA rules
  • Bachelor’s degree
  • FINRA Series 7 and Series 24 licenses
  • Exemplary oral, written, and interpersonal communication skills
  • Strong technical skills and excellent organizational skills
Nice to have
  • Understanding of FINRA & SEC marketing/advertising rules
  • Knowledge of compliance affairs of public and private funds
What the job really is

As a Compliance Officer at CAIS, you will support the core compliance program for CAIS Capital LLC, handling key regulatory processes and monitoring compliance activities. Your role will involve managing compliance systems, conducting surveillance of communications, and reviewing marketing materials for regulatory compliance. You will also collaborate with the Compliance Team to enhance compliance frameworks and participate in compliance oversight activities.

Benefits
  • Market competitive salary
  • Performance bonus
  • Generously subsidized healthcare
  • 100% employer paid dental and vision insurance
  • Employer matched retirement plan
  • Wellness programs
Things to weigh
  • Base salary range is $100,000 - $145,000, which may vary based on experience
  • Role may involve navigating a dynamic regulatory environment
  • Company uses AI tools in recruitment, which may affect the application process
Job score4.4/5
Benefits4/5
Freshness5/5
Career value4/5
Role clarity4/5
Pay transparency5/5

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