Structured Notes Compliance, Vice President

CAIS is the pioneer in democratizing access to and education about alternative investments and structured products for independent financial advisors, empowering them to engage and transact with leading asset managers and bank issuers on a massive scale through a wide variety of alternative investment products and technology solutions. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and capital market solutions including structured notes, market-linked CDs, and hedging strategies for concentrated stock positions. CAIS also delivers industry-leading technology, operational efficiency, and world-class client service throughout the pre-trade, trade, and post-trade experience. CAIS supports over 50,000 advisors who oversee more than $6 trillion in network assets. 

We are seeking a highly motivated Structured Notes Compliance Professional to join our growing Compliance team. This is a newly created role offering the unique opportunity to own and shape the Structured Notes Compliance vertical from the ground up. This individual will be responsible for overseeing day-to-day compliance matters related to the structured notes business, ensuring alignment with applicable regulatory requirements, internal policies, and best practice standards.

Responsibilities

• Serves as the primary compliance point of contact for the structured notes trading desk –Provide real-time regulatory and compliance advice to trading desk personnel
• Oversee the implementation and management of structured notes policies and procedures
• Coordinate with the trading desk to identify, and resolve potential risk control gaps and deficiencies
• Conduct testing and surveillance of business activities to ensure ongoing compliance with policies, procedures, and applicable regulation.
• Review and approve marketing and communication materials related to the structured notes business.
• Provide training and guidance to trading personnel, including ad hoc or specialized compliance training sessions.
• Monitor TRACE reporting; Oversee responses to regulatory inquiries.
• Support broader Compliance initiatives and collaborate cross-functionally with trade support, legal, and other internal teams.
• Stay abreast of regulatory developments impacting structured notes and capital markets activities.

Qualifications

• Bachelor’s degree in Finance, Business, Law, or related field.
• Series 7, 63, and 24 licenses are required.
• 3–7 years of experience in Compliance, Trade Support, or within a Capital Markets environment, preferably with direct exposure to structured notes, fixed income products, and trading.
• Strong understanding of SEC and FINRA rules and regulations,
• Exceptional analytical, communication, presentation and interpersonal skills.
• Highly organized, able to thrive in a fast-paced and demanding environment, managing multiple priorities with a proactive approach.
• Comfortable working independently while also contributing to a team-oriented environment.

Why Join Us?
This is a high-impact, visible role with the opportunity to build a critical function within the Compliance organization. As the structured notes business evolves, this position will continue to expand across product coverage and regulatory scope, offering significant potential for career growth and development.

CAIS is consistently recognized as a Best Place to Work, and our culture is at the heart of our success. We are committed to fostering an inclusive environment where employees can be their most authentic selves and feel inspired and supported to bring their voice forward to drive community, growth, and innovation. We are an equal opportunity employer, and do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law.  Learn more about our culture, benefits, and people at https://www.caisgroup.com/our-company/careers.

CAIS’ compensation package includes a market competitive salary, a performance bonus, and exceptional benefits. If you are located in New York, NY, the base salary range for this role is $130,000 - $160,000. Actual compensation is influenced by a wide array of factors including but not limited to skill set, level of experience, and specific office location.

CAIS offers a comprehensive benefits package that includes generously subsidized healthcare with 100% employer paid dental and vision insurance, an employer matched retirement plan, wellness programs, and generous PTO and parental leave. Additionally, CAIS offers a flexible, hybrid in-office model; candidates should be comfortable being in the office at least 3 days per week. For more information on our benefits and career opportunities, please visit our website: https://www.caisgroup.com/our-company/careers.