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 compliance Examiner is responsible for performing on-site examinations of Cadaret Grant branch offices. Through independent analysis and observation, the Compliance Examiner will assist the Branch Manager in complying with the rules and regulations governing the securities industry and adherence to the firm’s policies and standards of conduct. A report of the examination findings is submitted to the Manager of Compliance for review and then issued to the Branch Manager.
PRINCIPAL DUTIES AND RESPONSIBILITIES:
- Conduct in-site examinations of Cadaret Grant sales offices through the United States.
- Submit a report of the findings of each examination to the Manager of Compliance.
- When in the field, act as a liaison between representatives and the home office.
- Work with other members of the department during any SRO examinations of the home office or Branch Offices.
- Keep abreast of regulatory changes as they apply to the Compliance Department.
EDUCATION, SKILLS AND EXPERIENCE:
- A bachelor's degree in business, finance or related field, or equivalent combination of education and experience.
- 2 - 5 years of experience in the financial services industry is required.
- FINRA Series 7 and 24 licenses are required for this position. Series 7 is required for consideration with the ability to obtain a Series 24.
- FINRA Series 63 or 66 are preferred
- Must be able to travel up to 80%
- Excellent communication skills
- Strong attention to detail
- Ability to analyze data and detect anomalies
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.