CAIS seeks a Structured Notes Compliance Professional to oversee day-to-day compliance matters related to the structured notes business, ensuring alignment with regulatory requirements and internal policies.
Responsibilities
Serve as primary compliance contact for the structured notes trading desk
Oversee implementation and management of structured notes policies and procedures
Coordinate with the trading desk to identify and resolve potential risk control gaps
Conduct testing and surveillance of business activities
Review and approve marketing and communication materials
Provide training and guidance to trading personnel
Monitor TRACE reporting and oversee responses to regulatory inquiries
Support broader Compliance initiatives and collaborate cross-functionally
Stay abreast of regulatory developments impacting structured notes
Requirements
Bachelor’s degree in Finance, Business, Law, or related field
Series 7, 63, and 24 licenses
3–7 years of experience in Compliance or Capital Markets
Strong understanding of SEC and FINRA rules and regulations
Exceptional analytical, communication, presentation, and interpersonal skills
Highly organized and able to thrive in a fast-paced environment
Comfortable working independently and contributing to a team