Compliance Associate

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Job description

Cadre is a next-generation technology-driven real estate investment platform for commercial real estate, democratizing access to a 16 trillion dollar asset class favored by private equity firms, hedge funds, and institutional investors. We believe that commercial real estate is a cornerstone of wealth creation, and access should not be limited to the few. With over $130 million in investments from the likes of A16z, Khosla Ventures, Thrive Capital, General Catalyst, and Founders Fund, Cadre is positioned to reimagine real estate investing, and is only just getting started.

We are on a mission to give more people the opportunity to improve their financial futures and our people are the driving force. While our backgrounds are varied, we are united in our curiosity, obsession with solving difficult problems, and dedication to our mission.

ABOUT THE ROLE

Cadre is looking for a Compliance Associate to work with and report to the Chief Compliance Officer. In this role you will assist with the oversight of an SEC registered investment adviser, and a FINRA registered broker-dealer. You will also have an opportunity to help develop, implement and drive effective and efficient Compliance processes, while partnering cross-functionally across Cadre. 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.

The ideal candidate will have a strong work ethic, good judgement, critical thinking skills, and the ability to communicate effectively. As a successful candidate, you will be required to obtain your S7 license within 60 days of joining, and your S24 license within 120 days of joining.

WHAT YOU'LL DO

* Review and approve marketing collateral and communications with the public for compliance with FINRA Rule 2210 and the SEC's advertising rules.
* Assist with implementing and monitoring adherence with the firm's Code of Ethics and related procedures. Manage quarterly and annual certification processes for access persons and registered personnel. Track and monitor outside business activities, gifts and entertainment, and political contribution pre-clearance requests.
* Assist with managing the firm's regulatory filing obligations, including the annual ADV update.
* Manage the licensing process, including the broker-dealer's Firm Gateway and CRD filings (e.g. Form U4s, Form U5s, Form BD, and Form BR.)
* Assist with the firm's AML obligations, including conducting 314(a) searches.
* Help develop and deliver training and communications on compliance policies and procedures.
* Assist in maintaining all required books, records, manuals and correspondence, and managing any regulatory inquiries and exams.
* 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, registered investment adviser, or broker-dealer.
* 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.

We view diversity as a critical imperative and asset, and want our team to be as diverse as the communities we work to serve. Our mission and culture are grounded in our commitment to fostering diversity, equity, inclusion and belonging and providing equal opportunity for all applicants and employees. We encourage applicants from all backgrounds to apply.

Learn more about our commitment to DEI here: