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.