Cadaret Grant is looking for a Compliance Analyst to join our growing team! This position will support all general compliance and registration functions as required by FINRA, SEC, and individual state securities and insurance regulatory organizations.
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.
This position is eligible to be remote or located in any of our home office locations including New York, Texas and California.
Principal Duties and Responsibilities:
- Assists in the review and response to client complaint and correction issues as assigned
- Assists with regulatory complaint filings
- Supports responses to regulatory exams and inquiries as assigned
- Reviews and approves retail communications on behalf of firm
- Reviews and approves new hire candidates on behalf of firm
- Reviews representative personal brokerage account statements and trading activity
- Reviews and responds to general field compliance inquiries
- Identifies potential representative disciplinary issues and reports to direct supervisor
- Conducts compliance training for representatives and assistants as assigned
- Conducts auditing tasks of annual supervisory branch examinations as assigned
- Maintains consistent office hours at the firm’s home office
- Supports Company Mission and Corporate Values
- Other projects and duties may be assigned
Education, Skills and Experience:
- Bachelor's degree from four-year college or university; or six to eight years related experience and/or training; or equivalent combination of education and experience
- Previous experience in the financial services industry
- FINRA Series 7, 24, and 63 or 66 are required
- Excellent verbal and written communication skills
- Ability to provide a high level of customer service
- Strong computer skills including: Microsoft Office Excel, Word and Outlook
- Ability to multi-task, prioritize work and problem solve efficiently
- Able to perform a variety of analytical techniques to identify, analyze, and solve problems of a complex nature in a timely manner.
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.