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AML Compliance Analyst 

Division Cadaret Grant & Co. Inc.  
Position AML Compliance Analyst  
Location Syracuse, NY  
Full-Time/Part-Time -unspecified-  

Are you ready to join one of the fastest growing broker-dealer networks in financial services? (Cerulli Associates, 2020) At Atria, we support independent financial professionals and financial institution investment programs so they, in turn, can provide exceptional service to their clients and develop meaningful relationships with them.

We are looking for an AML Compliance Analyst to join our organization. In this role, you will be responsible for surveillance, monitoring and control reviews to ensure financial professionals are in compliance with firm policies and applicable regulations, including the Bank Secrecy Act (BSA), USA PATRIOT Act, and Office of Foreign Assets Control (OFAC) programs. In this important role, you will have the chance to provide cross-BD support to other entities in the Atria Wealth Solutions (AWS) Enterprise.

The individual in this role must be able to work from one of our home offices including

  • NEXT Financial Group in Houston, TX,
  • CUSO Financial Services in San Diego, CA or
  • Cadaret Grant in Syracuse, NY.

Our offices throughout the country are the most effective environment for us to support and partner with financial professionals. At the same time, the health and safety of our team is our highest priority. Our COVID-19 Task Force actively monitors and tracks the ongoing status in each of our office locations, ensuring consistency with CDC guidelines and providing a safe and healthy work environment for our team members.

Duties and Responsibilities:

  • Assist in developing, implementing, maintaining and enhancing anti-money laundering policies, procedures, and controls
  • Monitor and advise on emerging BSA/AML compliance issues
  • Review exception reports and conducts account surveillance and investigations of potential violations of AML regulations and related procedures
  • Responsible for FinCEN 314(b) inquiries
  • Participate in AML training initiatives and provide AML guidance to financial professionals and home office employees
  • Conduct reviews or escalated KYC and Customer Identification Program issues
  • Review and investigate alerts and/or financial professional referrals for potentially suspicious activity and documents associated research and resolution
  • OFAC oversight, including dispositions of potential OFAC list matches
  • Draft and file SARs
  • Enforce firm policy on low priced and cannabis related business securities
  • Investigate and track data breach referrals
Position Requirements

Education, Skills & Experience

  • AML and/or Compliance/Risk experience preferred
  • Experience in the financial services industry
  • Bachelor's degree or equivalent job experience required
  • FINRA Series 7 and 24 preferred
  • Certified Anti-Money Laudering Specialist (CAMS) designation is a plus
  • Proficient in Microsoft Office Suite
  • Experience with LexisNexis Bridger XG and Actimize is a plus
  • Strong Communication Skills, Problem Solving and Critical Thinking ability

Why work at Atria?

In addition to a competitive salary, we provide a full benefits package that includes:

  • Medical insurance
  • Dental insurance
  • Prescription drug benefits
  • Vision insurance
  • Retirement savings 401(k) plan with matching
  • Paid time off
  • Paid holidays
  • Critical illness insurance
  • Veterinary pet insurance
  • Employee assistance program
  • Life insurance
  • Short & long-term disability insurance
  • Legal plan

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 deepen client relationships and maximize efficiencies in their practices.

Atria’s broker-dealer subsidiaries include CUSO Financial Services, L.P., Sorrento Pacific Financial, LLC, Cadaret Grant & Co., Inc., NEXT Financial Group, Inc., Western International Securities, Inc., and SCF Securities, Inc. Atria’s subsidiaries together support nearly 2,500 financial professionals and over 200 financial institutions with nearly $100 billion of assets under administration. For more information, please visit

It’s time for the next step in your career. Apply now.


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