Regulatory Compliance Associate — Broker-Dealer; FINRA)
Listed on 2026-10-06
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Finance & Banking
Regulatory Compliance Specialist, Financial Crime -
Law/Legal
Regulatory Compliance Specialist, Financial Crime, Financial Law
Location: New York
CAIS is seeking a detail-oriented Associate or Senior Associate to join our Legal and Compliance team in New York. You will support core compliance programs for a FINRA-member broker-dealer, manage FINRA filings, and oversee employee compliance and trade activities.
The role offers exposure to regulatory oversight and the opportunity to own key compliance processes in a fast-paced environment. The ideal candidate has 2-5 years in financial services compliance, FINRA Series 7 & Series 24, and
We invite applications for the Regulatory Compliance Associate — Broker-Dealer (FINRA) position located in New York, NY, United States.
We would love to welcome a new Regulatory Compliance Associate — Broker-Dealer (FINRA) to our organisation in New York, NY, United States.
For the Regulatory Compliance Associate — Broker-Dealer (FINRA) position at Capital Integration Systems, we are reviewing applications now.
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