Job Description
CAIS is the pioneer in democratizing access to and education about alternative investments for independent financial advisors, empowering them to engage and transact with leading asset managers on a massive scale through a wide variety of alternative investment products and technology solutions. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes. CAIS also delivers industry-leading technology, operational efficiency, and world-class client service throughout the pre-trade, trade, and post-trade experience. CAIS supports over 50,000 advisors who oversee more than $6 trillion in network assets.
We are seeking a detail-oriented and licensed Capital Markets Operations Analyst or Associate to support the full lifecycle of structured note products. This role sits at the intersection of trade operations, client servicing, and platform management, requiring both technical precision and strong relationship skills.
Key Responsibilities Trade Operations & Settlement
- Monitor and escalate trade settlement, delivery, and pre/post-delivery lifecycle of notes
- Send client confirmations on trade date, requiring direct client interaction and soft relationship skills
Platform & Data Management
- Add new issue products onto the platform with a thorough understanding of product specifications
- Manage e-mail trade blotter additions and updates; monitor OMT and add/update trades in the Trade Blotter accordingly
- Manage daily custom notes offerings and oversee custom calendar creation
Client & Account Servicing
- Process holdings/position upload requests submitted by clients
- Suppress client-requested statements within the RBC system
- Set up and manage client accounts in ClientSource (RBC system)
- Conducting platform demos and helping with onboarding process
Reporting & Administration
- Help with monthly KPI management and reporting
- Handle call/maturing notices, requiring high attention to detail and thorough product review
Requirements
- FINRA license required — Series 7, Series 63
- Strong product understanding, particularly across structured/custom note offerings
- Excellent attention to detail with the ability to manage high-timeliness, high-complexity tasks
- Effective communicator
- Ability to escalate appropriately
Work Style This role involves a mix of routine operational tasks, time-sensitive responsibilities. Candidates must be comfortable managing competing priorities and operating with a high degree of autonomy.
CAIS is consistently recognized as a Best Place to Work, and our culture is at the heart of our success. We are committed to fostering an inclusive environment where employees can be their most authentic selves and feel inspired and supported to bring their voice forward to drive community, growth, and innovation. We are an equal opportunity employer, and do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. Learn more about our culture, benefits, and people at https://www.caisgroup.com/our-company/careers.
CAIS’ compensation package includes a market competitive salary, a performance bonus, and exceptional benefits. If you are located in New York, New York, the base salary range for this role is $75,000 - $115,000. Actual compensation is influenced by a wide array of factors including but not limited to skill set, level of experience, and specific office location.
CAIS offers a comprehensive benefits package that includes generously subsidized healthcare with 100% employer paid dental and vision insurance, an employer matched retirement plan, wellness programs, and generous PTO and parental leave. Additionally, CAIS offers a flexible, hybrid in-office model; for most roles, we do require a minimum of 3 days in office per week. For more information on our benefits and career opportunities, please visit our website: https://www.caisgroup.com/our-company/careers.
We use technology, including AI tools, to support parts of our recruitment process such as application screening, interview scheduling, and candidate communications. These tools are used to improve efficiency and consistency, but they do not replace human judgement. All hiring decisions are made by people, and we are committed to fair and unbiased assessment of every candidate.
