This position is shared role that is split between Cadaret Grant compliance and the Core Compliance Team .
For CG Compliance:
This position is responsible for completing administrative tasks as required by the firm’s internal compliance procedures. The Administrator will assist the Chief Compliance Officer in preparing various reports and responses related to regulatory inquires and customer complaints. In addition, the position will provide administrative assistance to other employees within the department at the direction of Chief Compliance Officer.
For CC Team:
Also serves as a member of the CC. This team is responsible for managing certain processes for all member firms in the Atria Wealth network. This position will assist with data entry, creating periodic management reports, reviewing Outside Brokerage Accounts, and tracking Firm Element Continuing Education completion.
For both functions: Additional tasks and projects as assigned.
PRINCIPAL DUTIES AND RESPONSIBILITIES: (explain fully)
- Screen phone calls from the front desk and other departments in order to route specific topic calls to the appropriate compliance person.
- Record information about proposed penny stock trades and approve or reject an order based on specific criteria established by the firm’s internal procedures.
- Send a non-solicitation letter to the client and tracks the response to those letters as required by the firm’s internal procedures.
- Forward Change of Investment Letters received by the firm and records the receipt of each letter on an electronic blotter.
- May send a form letter requesting a representative provide a Change Investment Letter for a specific transaction and ensure the remittance of that letter.
- May be asked to send a form letter requesting a representative provide a Diversification and Asset Allocation Letter for a specific transaction and ensure the remittance of that letter.
- Scan and index letters as well as various documents provided by the Chief Compliance Officer and Internal Compliance employees.
- Assist in the collection of data and reports needed to reply to regulatory requests.
- Provide administrative assistance to the field examiners as necessary.