Compliance Officer is open at CAIS in New York, New York. The posting gives a salary of $100K - $145K. Posted on Sep 9, 2026, and still on CAIS’s careers page when we last checked, on Nov 14, 2026.
About the role
Handling key FINRA registration and regulatory processes, including Firm Gateway administration, Form U4 and Form U5 filings, registration processing, miscellaneous regulatory filings, and monitoring of FINRA reports. Administering employee compliance and personal trading activities, including reviews of outside investment accounts, trade pre-clearance requests, outside business activities, disclosures, and employee…
The opening lines of the posting. The rest is on CAIS’s careers page.
Hiring at CAIS
CAIS has 13 open roles right now. Most are in Product, Engineering and Security. See all its roles