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.