Deputy General Counsel
CAIS is a leading financial product platform offering wealth management professionals access to a diversified menu of funds and products. The firm provides streamlined execution to an expanding list of alternative investment funds, structured notes, and real assets. In response to strong firm growth and an expansion in product offering, we are seeking an experienced Deputy General Counsel to be a strong #2 to our General Counsel & Managing Director to help lead firm-wide legal & compliance functions.
This position will have exposure to all aspects of the firm’s legal and compliance program, as well as its Legal Department initiatives. The ideal candidate will possess significant registered and private fund experience, broker-dealer legal and compliance experience, corporate and securities law practice knowledge, and a desire to further develop these skills and help lead a team in an entrepreneurial, dynamic, and rapidly developing firm. The role will report directly to the General Counsel and have broad remit.
- Able to independently act on behalf of the General Counsel concerning all matters impacting CAIS
- Under direction of the General Counsel, oversee legal matters for the business, including advising on and negotiating corporate transactional matters, supervising junior counsel, and overseeing the structuring of investment programs (including negotiations with fund managers and clients, employment matters, litigation, corporate governance, and registered investment adviser and fund-level compliance and risk management)
- Manage entity maintenance and corporate governance for the firm and its affiliated entities
- Juris Doctor (JD) from an accredited U.S. school of law
- 8-10+ years of legal practice experience in the Corporate, Funds, or Broker-Dealer Regulation department of an AmLaw 100 law firm, combined with some in-house experience
- Strong knowledge of FINRA Rules, the Securities Act of 1933, the Investment Company Act of 1940, the Investment Advisors Act of 1940, and the Securities Exchange Act of 1934
- FINRA Series 7 and/or 24 preferred
- Corporate governance experience, including partnership, formation/structure/re-organization, board resolutions, etc.
- Strong knowledge of U.S. federal securities laws and investment advisor regulations
- Experience drafting and negotiating a variety of corporate and third-party agreements including, but not limited to: nondisclosure, private placement, licensing, subscription, professional services, vendor, software, broker/dealer, trading, counterparty, research providers, etc.
- Precise, linear, and logical analytical skills, as well as an innate desire to tackle and resolve complex issues
- Highly refined written and oral communication skills, including great attention to detail and the gravitas required to concisely present complex concepts to senior management
- Excellent leadership skills and project management capabilities, including the ability to independently plan, manage, and execute extensive mandates efficiently and effectively
- Membership in the New York or other state bar in good standing
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 $220,000 - $300,000. 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 not require a minimum number of days in office per week. For more information on our benefits and career opportunities, please visit our website: https://www.caisgroup.com/careers
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.