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Title

Branch Examiner 

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

Cadaret Grant is looking for a Compliance Examiner to join our growing Compliance team! At Cadaret Grant, we offer our employees the opportunity to grow personally and professionally, to contribute to the success of a dynamic organization, and to serve others in a manner that exceeds their expectations.

The Branch Office Examiner will utilize his or her expertise to plan, perform and document branch examinations of Office of Supervisory Jurisdiction (“OSJ”) and Registered Representative offices to assure compliance with firm policies, regulatory rules and applicable statutes.

This position is eligible to be located in Syracuse, Houston, San Diego, or remote for the right candidate. 

 

 
Position Requirements

PRINCIPAL DUTIES AND RESPONSIBILITIES:

  • Plan, perform and document remote and on-site examinations of Atria Wealth Solutions branch offices throughout the United States.

  • Work with OSJ Managers and/or Registered Representatives to resolve any deficiencies identified. Perform follow-up to ensure all deficiencies noted during the exam have been corrected.

  • Assist contract branch examiners in the preparation of information and itineraries to support contractor examinations.

  • Act as a liaison between representatives and the home office.

  • Work with other members of the department during any regulatory examinations of the home office or branch offices.

  • Assist in answering compliance related inquiries.

  • Keep abreast of regulatory changes and firm policies and procedures.

EDUCATION, SKILLS AND EXPERIENCE:

  • Bachelor’s degree or equivalent job experience required.

  • Minimum or 2+ years of industry experience. Compliance experience is a plus.

  • FINRA Series 7 is required.

  • FINRA Series 24 must be obtained within 90 days of hire.

  • Position requires up to 50% travel.

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 financial professionals, financial institutions and their clients. Headquartered in New York City, Atria’s broker-dealer subsidiaries empower financial institutions and independent financial professionals with a sophisticated set of tools, services and capabilities that drive growth. Atria’s broker-dealer subsidiaries include CUSO Financial Services, LP, Sorrento Pacific Financial, LLC, Cadaret Grant & Co., Inc., NEXT Financial Group, Inc. and Western International Securities, Inc. Atria’s subsidiaries together support nearly 2,500 financial professionals with more than $75 billion of assets under administration. For more information, please visit www.atriawealth.com.

EOE

 

This position is currently not accepting applications.

To search for an open position, please go to http://CUSO.appone.com




 


 
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