Compliance Analyst

| Greater NYC Area
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Cadre is building a technology-driven investment platform for commercial real estate, opening up access to a 16 trillion dollar asset class favored by private equity firms, hedge funds, and institutional investors. Our platform connects qualified individuals and institutions to fully vetted, compelling real estate investment opportunities. We combine our institutional experience with differentiated technology in order to empower our investors through direct access, lower fees, and greater transparency. Our mission is to provide superior access and insight to the universe of alternative investments.

Cadre is looking for a Compliance Analyst to work with and report to the Chief Compliance Officer.  You will be eager to help grow the broker-dealer and investment adviser compliance programs at a cutting-edge fintech firm. You will have an opportunity to help develop, implement and drive effective and efficient processes for compliance review while partnering cross-functionally across all teams at Cadre, including but not limited to Marketing, Sales, and Business Operations & Growth. You will play a critical role in ensuring that the review processes of our newly created and already existing marketing materials are reasonably designed to identify key compliance risks and mitigate those risks. In addition to providing support as it relates to the regulatory obligations of our business partners, you will continue to build compliance expertise through developing and delivering training and communications on compliance policies and procedures to ensure proper understanding across the organization of regulatory related risks and responsibilities. You also have a strong work ethic and motivation to learn. You are eager to support the core rules and regulations underpinning FINRA broker-dealer and SEC investment advisor compliance  as well as business operations, strategy and process. As a successful candidate, you will be required to obtain your S7 license with 60 days of joining and your S24 license within 120 days of joining.


WHAT YOU’LL DO 

  • Partner with internal business stakeholders to advise on marketing collateral and communications with the public.
  • Responsible for review and approval of all marketing collateral and communications with the public, adhering to the requirements of FINRA Rule 2210 and the SEC’s advertising rules under the Investment Adviser Act.
  • Manage quarterly and annual certification processes for access persons and registered personnel.
  • Oversee individual Code of Ethics compliance obligations (e.g., brokerage statements, outside business activities, political contributions) and manage a compliance system that houses related filings.
  • Manage broker-dealer’s Firm Gateway and CRD filings, including Form U4s, Form U5s, Form BD, and Form BR.
  • Assist with firm’s AML obligations, including conducting 314(a) searches. 
  • Help develop and deliver training and communications on compliance policies and procedures to ensure proper understanding across the organization of regulatory related risks and responsibilities.
  • Help maintain all required books, records, manuals and correspondence.
  • Assist Legal Team with certain document preparation and file maintenance. Other duties as needed.

WHAT YOU HAVE 

  • 4-6 years experience as a compliance professional at a private equity firm or hedge fund.
  • Broker-dealer and real estate experience are strongly preferred. 
  • Series 7 and 24 or willingness to obtain both within 120 days of employment.
  • Experience reviewing marketing collateral for compliance with FINRA Rule 2210 and SEC’s investment adviser advertising rule.
  • Experience with Investment Adviser Act and FINRA rules and regulations.
  • Familiarity with Bank Secrecy Act and anti-money laundering obligations a plus.
  • Comfort with ambiguity - capable of solving complex problems independently in a fast-paced environment.
  • Demonstrated success at partnering, prioritizing, and balancing needs cross-functionally.
  • Excellent writer and communicator.
  • Excellent project management and organization skills.
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Technology we use

  • Engineering
  • Sales & Marketing
    • JavascriptLanguages
    • PythonLanguages
    • Computer ScienceLanguages
    • ReactLibraries
    • ReduxLibraries
    • Node.jsLibraries
    • DjangoFrameworks
    • PostgreSQLDatabases
    • SalesforceCRM

Location

Cadre is located on the cusp of the Soho and Nolita neighborhoods. Our area is ripe with amazing restaurants, bars, shopping & fitness studios.

An Insider's view of Cadre

What’s the vibe like in the office?

Collaborative! Many of our teams operate cross functionally, which is why we opted for an open floor plan. With no private offices, we were able to allot a healthy amount of perimeter space to meeting & call rooms. Our kitchen a.k.a The Mission, offers employees a wide array of snacks, drinks & tables at which to work while socializing!

Catie

Culture and Events Manager

What's the biggest problem your team is solving?

We're working on integrating more quantitative techniques into our investment process. Machine Learning has had a transformative effect on a number of industries & CRE is undergoing a similar transformation. How Cadre uses data in our investment process allows us to create more thoughtful strategies & be better fiduciaries to our investors.

Ashwin

Senior Director of Engineering

How has your career grown since starting at the company?

I've been provided numerous chances to take ownership over new initiatives within the company. After starting at the firm as an investment analyst & growing within that vertical, I was able move into a biz dev role where I’ve led several areas of growth for Cadre. These responsibilities & challenges have pushed me to grow as an employee & manager.

Charlie

Vice President of Emerging Verticals

What is your vision for the company?

2020 will be a year of continued growth & further realization of our mission as we expand access & liquidity in the Commercial Real Estate investing world. I look forward to another year of exponential growth of our investor base & expanded liquidity for many more clients!

Ryan

Co-Founder & CEO

How would you describe the company’s work-life balance?

As my needs & the needs of my child change, it's really important to be in an environment that embraces that evolution. I constantly feel supported whenever I need to shift my priorities between work and home. Another reason why I love working here is that my daughter always feels welcome in the office. Knowing she's always welcome is empowering!

Cherice

Executive Assistant to the CEO

What are Cadre Perks + Benefits

Culture
Volunteer in local community
Friends outside of work
Eat lunch together
Daily sync
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Open office floor plan
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
We pay 100% of your medical premiums to help keep our employees healthy!
Life Insurance
Wellness Programs
Retirement & Stock Options Benefits
401(K)
401(K) Matching
Company Equity
Child Care & Parental Leave Benefits
Generous Parental Leave
Flexible Work Schedule
Vacation & Time Off Benefits
Unlimited Vacation Policy
Generous PTO
Paid Volunteer Time
Perks & Discounts
Casual Dress
Commuter Benefits
Company Outings
Game Room
Stocked Kitchen
Some Meals Provided
Happy Hours
Fitness Subsidies
Professional Development Benefits
Job Training & Conferences
Lunch and learns
Cross functional training encouraged
Promote from within
Paid industry certifications
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