NEXT Financial Group is looking for a Compliance Analyst to join our successful organization. At NEXT, 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 Analyst position is primarily responsible for the review and approval of all forms of retail communications / advertising submitted by or on behalf of associated persons of the firm, including stationary, print ads, television ads & program, radio ads & programs, websites, newsletters, client letters, social media content and email campaigns. The compliance analyst will also be responsible for any general compliance duties as assigned by compliance management.
The position is available for qualified remote / Work From Home (WFH) or NEXT Home Office based candidates.
Principal Duties and Responsibilities:
- Review and approve advertising and retail communications submissions as well as maintain applicable firm records via the firm’s retail communications compliance platform.
- Understand and apply firm policies and procedures as well as applicable FINRA, SEC and State retail communications / advertising regulations as part of the review of retail communication submissions to the firm.
- Apply an approval determination or communicate instructions for any required changes as part of the review of submitted retail communications via the firm’s retail communications compliance platform.
- Monitor and supervise associated person social media accounts through the firm’s retail communications compliance platform and social media compliance supervision application.
- Supervise and approve of radio, television, and web-based marketing and live events.
- Monitor and review corporate internal communications and trainings as assigned.
- Develop strong relationships with advisors, supervisors, and assistants in order to help facilitate their marketing endeavors.
- Provide input and assist in streamlining processes to enhance overall supervision of advertising practices.
- Provide training to field and staff on retail communications as needed and/or assigned by management.
- Perform other general compliance tasks as assigned by compliance management
Education, Skills and Experience:
- Bachelor's degree (B. A.) from four-year college or university; or six to eight years related experience and/or training; or equivalent combination of education and experience
- FINRA Series 7 and 24 required
- Strong computer skills with software tools including Microsoft Word, Excel, Outlook, and the ability to learn various firm and industry software
- Excellent customer service, phone general and communication skills with internal staff, field and clients
- Strong organizational skills and attentiveness to detail
- Ability to work autonomously with minimal management supervision
- Career oriented to achieve personal growth as well as growth within the firm
For over 20 years, NEXT has approached wealth management with advisor-first service at the center. That means providing a foundation of robust product offerings, practical guidance, and most importantly, the freedom to choose. Keeping product division managers in board seats has kept advisors’ voice in the decision-making process from the beginning. They’ve always cultivated a family-like atmosphere in their Houston office so representatives can expect a warm welcome when they reach out for assistance. Acquired by Atria in 2019, the firm’s sense of camaraderie illustrates the power of personal every day.
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.