Chief Compliance Officer at Cadre

| Greater NYC Area
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Cadre is seeking a compliance leader eager to grow and lead extraordinary broker-dealer and RIA compliance programs at a cutting-edge fintech firm. Your experience has taught you how to build out effective and intelligent processes and procedures. You have a business mind, and are always seeking new and improved ways of doing things. You have the confidence and ability to work productively with our regulators and internal team, and can communicate clearly and persuasively.  You have a strong understanding of the core rules and regulations underpinning FINRA broker-dealer and SEC investment adviser compliance functions, but also an understanding of business operations, strategy and process.

Most importantly, you are driven to build an elite compliance department with a world-class team. You don’t want to do things the way it has always been done—you want to improve. You want to build a team and organization we can all be proud of, one that changes the way people think about compliance operations.

 What You’ll Do

  • Lead our compliance organization, providing guidance and support to our business partners, senior management, and our Board of Directors
  • For both our broker-dealer and RIA functions, ensure that appropriate regulatory policies, procedures and controls are established, maintained and well-documented
  • Develop and deliver training and communications on compliance policies and procedures to ensure proper understanding across the organization of regulatory related risks and responsibilities
  • Take ownership of all ongoing compliance review processes, including annual meetings, Form ADV and Form BD filings, policies and procedures, etc.
  • Manage and coordinate SEC and FINRA regulatory examinations, including written responses
  • Partner with the Legal team to analyze changes to regulatory requirements and proactively handle regulatory developments
  • Become an industry thought leader as we grow and expand our business.
  • Reviewing and updating compliance policies and procedures to reflect industry best practices, the evolving regulatory environment and changes to the business
  • Drafting federal and state regulatory filings and compliance documentation
  • Maintain all required books, records, manuals and correspondence
  • Assisting with educating staff on compliance-related matters
  • Conducting vendor due diligence
  • Drafting contracts and related internal compliance materials
  • Assisting with the preparation, organization and maintenance of corporate documents
  • Coordinating and communicating with internal and external parties on various legal and compliance related matters

What You Have

  • A minimum of 10 years experience as a compliance professional at a SEC-registered investment adviser, broker-dealer, or regulator (diversity of experience strongly preferred)
  • JD preferred but not required 
  • Experience with rules and regulations applicable to investment advisers and broker-dealers
  • Comfort with ambiguity - capable of solving complex problems independently in a fast-paced environment
  • Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability
  • Ability to initiate and drive projects to completion with minimal guidance
  • Demonstrated success at partnering, prioritizing, and balancing needs cross-functionally
  • Substantial experience managing regulatory audits
  • Excellent writer and communicator
  • Series 7 and 24
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Technology we use

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


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!


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.


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.


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!


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!


Executive Assistant to the CEO

What are Cadre Perks + Benefits

Volunteer in local community
Friends outside of work
Eat lunch together
Daily stand up
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) 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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