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Advisory Compliance Analyst

Company: CUSO Financial Services, L.P.
Location: Syracuse
Posted on: June 10, 2021

Job Description:

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

Cadaret Grant is looking for a Advisory Compliance Analyst to join our growing enterprise! 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 responsible for supporting advisory compliance and registration functions as required by FINRA, SEC, and state securities regulations.

Principal Duties and Responsibilities:

  • Conducts surveillance and review of advisory exception reports.
  • Conducts ongoing advisory surveillance of sales trends.
  • Assists in research of advisory compliance related projects.
  • Assists in preparation of advisory regulatory responses and filings as assigned.
  • Conducts advisory compliance training for representatives and assistants as assigned / needed.
  • Responds to general advisory compliance inquiries from the field.
  • Assists with general compliance matters as assigned including, but not limited to, periodic pre-audit reports as assigned.
  • Conducts annual supervisory audits of OSJ branches as assigned.
  • Reviews representative and immediate family personal brokerage account statement trading activity.
  • Identifies potential representative disciplinary issues and assists in response as needed.
  • Sets and keeps consistent office hours at the Cadaret Grant back office.
  • Supports Company Mission and Corporate Values.
  • Other projects and duties may be assigned.

Position Requirements

Education, Skills and Experience:

  • Bachelor's degree (B. A. / B.S.) from four-year college or university preferred
  • FINRA Series 7, 24, and 65/63/66 (advisory state licensure) required
  • Three to five years of related experience and/or training
  • Ability to recognize when a problem or issue requires additional parties to be consulted and the ability to use proper discretion and judgment when dealing with internal and external difficulties.
  • Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations.
  • Ability to write reports, business correspondence, and procedure manuals.
  • Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public.
  • Strong computer skills including Microsoft Office (Excel, Word, Outlook) are a must as well as strong multi-tasking skills.

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

Keywords: CUSO Financial Services, L.P., Syracuse , Advisory Compliance Analyst, Other , Syracuse, New York

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