Compliance Officer

Join CAIS Capital LLC, a growing FINRA-member broker-dealer, as a Compliance Officer. In this role, you will support and administer key elements of the core compliance program, handle regulatory processes, manage employee compliance activities, and conduct routine surveillance. You will also review marketing materials for compliance, enhance the company's compliance framework, and participate in compliance oversight activities. This is an opportunity to gain broad exposure to broker-dealer compliance and make an immediate impact within the Legal and Compliance department.

• Support and administer key elements of the core compliance program for CAIS Capital LLC, including handling key FINRA registration and regulatory processes.
• Administer employee compliance and personal trading activities, including reviews of outside investment accounts, trade pre-clearance requests, and employee attestations.
• Conduct routine surveillance and monitoring of electronic communications, and support the review of marketing and communications materials for compliance.

• The ideal candidate is a self-starter who brings strong analytical and communication skills, exceptional attention to detail, intellectual curiosity, and a genuine interest in regulatory compliance
• We are looking for someone who is comfortable taking ownership, navigating multiple priorities, and operating in a dynamic and evolving environment
• A natural ability to develop relationships, internally and externally
• 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
• Exemplary oral, written, and interpersonal communication skills; ability to comfortably multi-task and meet deadlines
• Bachelor’s degree (required)
• 2-5 years + experience in a compliance role at a financial services firm with substantial knowledge of FINRA rules
• Understanding of FINRA & SEC marketing/advertising rules, and the day-to-day compliance affairs of public and private funds a plus
• FINRA Series 7 and Series 24 licenses (required)