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Title

Home Office Registered Principal 

Division Cadaret, Grant & Co., Inc.  
Position Home Office Registered Principal  
Location Cadaret, Grant & Co., Inc. - Home Office  
Full-Time/Part-Time Full-Time  
Description

Cadaret Grant & Co., Inc. is looking for a Home Office Registered Principal to join our successful organization. We take pride in our team of professionals, who help to expand the company’s reputation as one of the leading independent broker/dealers in the country.

This position will be responsible for compliance oversight and supervisory responsibilities for branch offices and their representatives. This includes ensuring industry compliance standards are being met by the firm, providing training and assistance relative to Cadaret, Grant‘s compliance policies and procedures, and reviewing securities transactions for suitability and compliance

Position duties include but are not limited to:

  • Train and provide assistance relative to Cadaret, Grant‘s compliance policies and procedures;
  • Review and approve securities transactions for suitability and compliance with Cadaret, Grant‘s policies and procedures as assigned. Including but not limited to proper licensing; frequent trading, unauthorized trading, improper switching, breakpoint sales, selling away and unsuitable recommendations.
  • Review securities related correspondence and advertising.
  • Maintain frequent written and verbal contact with representatives.
  • Conduct limited on site examinations of location were securities business is conducted.
  • Review monitoring and testing reports and recommend course of action to Management.
  • Prepare written memorandum relating to proposed and new regulations, concentrating on the impact to the broker/dealer and registered representatives.
  • Assist in drafting and implementing new policies and procedures
  • Assist the CCO and VP of Compliance in gathering information, documents and reports.
 
Position Requirements
  • A bachelor’s degree in business, finance or related field.
  • Five (5) years of experience in the securities industry.
  • FINRA Series 7 and 24 securities licenses are required.
  • Limited travel may be required to conduct on-site examinations at various locations where securities business is conducted.


Cadaret Grant, a FINRA member and independent broker-dealer headquartered in Syracuse, New York, is a wholly-owned subsidiary of Atria Wealth Solutions. Founded in 1985, Cadaret Grant serves nearly 750 financial advisors in over 450 branch offices with next-generation technology and support for their independent businesses. Cadaret Grant & Co. seeks employee candidates who are ambitious, dedicated, and spirited. Our collaborative culture offers community through shared goals and strong work ethics. To learn more about Cadaret Grant, please visit www.cadaretgrant.com.

Atria Wealth Solutions, Inc. (Atria) is a wealth management solutions holding company focused on delivering a clear path to the future of financial advice for advisors and their clients. Headquartered in New York City, Atria's subsidiaries empower financial institutions and independent advisors with a sophisticated set of tools, services, and capabilities that drive growth. Atria's subsidiaries include Cadaret Grant & Co., Inc., NEXT Financial Group, Inc., CUSO Financial Services, L.P., and Sorrento Pacific Financial, LLC, which together support nearly 2,000 financial advisors with more than $65 billion assets under administration. For more information, please visit www.atriawealth.com

EOE

 

This position is currently accepting applications.

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