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.
Benefits
Health insuranceDental insuranceVision insurancePaid time offFlexible scheduleEquity / stock optionsPerformance bonusParental leave
Additional Information
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.
Cais · New York City