Cache

Location: Remote

Overview

Cache is hiring for either a Compliance Analyst (3–5 years experience) or for the right candidate as a Compliance Lead (8–10+ years experience) to support the firm’s rapidly expanding Exchange Fund and private-fund advisory platform.

All candidates will work directly with the CCO and support the overall Core Compliance Program as well as elements of the Fund Formation and Administration process, and the SOC Compliance initiative.  The position provides exposure to the full regulatory and operational lifecycle of a broker-dealer and investment adviser that sponsors Private Funds.

Key Responsibilities:

For candidates considered at the Compliance Lead level, the role includes all analyst responsibilities executed with limited direction and oversight, along with additional expectations to:

• Perform independent regulatory analysis related to new business initiatives, fund structures, product launches, custodial integrations, and marketing workflows.
• Provide forward-looking guidance on how SEC, FINRA, and state regulations apply to emerging operational and product developments.
• Serve as a more senior point of contact across the business on compliance matters.

Team: Small, senior, cross-functional. High autonomy, high bar.

Responsibilities

Core Compliance Responsibilities

• Execute the compliance management program under the direction of the CCO**, including reviewing and updating compliance manuals and procedures, risk assessments, and performing required testing under Rule 3120/3130 and Rule 206(4)-7.
• Perform core regulatory reporting tasks, including Web CRD Administration, Form ADV updates, Form PF support, Schedule 13 filings (13F/13H), 314(b) reviews, and AML-related filings and certifications.
• Support marketing and correspondence review, including reviewing electronic media assets to ensure compliance with SEC and FINRA regulatory requirements.
• Assist with AML and compliance administration and training, including client watchlist screening, employee certification tracking, researching compliance issues, and supporting regulatory document production.

Additional Responsibilities

• Prepare audit and exam responses (SEC, FINRA, and state regulators) with supporting documentation.
• Work with Engineering to streamline manual compliance processes and strengthen controls through automation.
• Provide support for Fund Administration and Corporate Governance (including corporate filings and account administration) and SOC-related operational controls.

What Will Make You Successful

• 3–5 years of experience in compliance at an RIA, broker-dealer, private fund administrator, or fintech (for Analyst candidates).
• 8–10+ years of experience for candidates applying at the Compliance Lead level.
• Experience with compliance testing programs, including workpapers, findings, and remediation tracking.
• Exposure to FINRA, SEC, and securities regulations surrounding Private Funds (Regulation D, Rule 506, Blue Sky Filings, etc.) and private fund adviser obligations.
• Strong understanding of the investor subscription process, including AML/KYC and investor documentation.
• Excellent communicator who produces crisp, accurate compliance documentation.
• Proactive ownership mindset and ability to work collaboratively with senior stakeholders.
• Interest in growing into a senior compliance role, including involvement in the Fund Formation process.

Nice To Have

• Experience with alternative investments or private fund operations.
• Experience with wrap programs or robo-advisor offerings.
• Exposure to compliance management platforms and marketing review systems (Hadrius, COMPLY, RedOak, etc.).
• Experience with SOC Compliance Testing and Vendor Management.
• Licenses: Series 7 and Series 24 preferred or willingness to obtain within 6 months.

To apply:  Contact Brad Hanus at brad@usecache.com with the subject line Cache Compliance Analyst