Advisory Compliance Analyst
Company: CUSO Financial Services, L.P.
Posted on: June 10, 2021
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
Principal Duties and Responsibilities:
- Conducts surveillance and review of advisory exception
- Conducts ongoing advisory surveillance of sales trends.
- Assists in research of advisory compliance related
- 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
- 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
- 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
- Supports Company Mission and Corporate Values.
- Other projects and duties may be assigned.
Education, Skills and Experience:
- Bachelor's degree (B. A. / B.S.) from four-year college or
- FINRA Series 7, 24, and 65/63/66 (advisory state licensure)
- 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
- Ability to read, analyze, and interpret general business
periodicals, professional journals, technical procedures, or
- Ability to write reports, business correspondence, and
- Ability to effectively present information and respond to
questions from groups of managers, clients, customers, and the
- 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
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
Keywords: CUSO Financial Services, L.P., Syracuse , Advisory Compliance Analyst, Other , Syracuse, New York
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