The qualified candidate will report to the company's General Counsel. The responsibility of the Legal Counsel will be advising the business on broker/dealer and other securities law matters, providing day-to-day legal support to our broker/dealer and investment advisory businesses, as well as drafting various legal agreements, disclosures, broker/dealer policies and procedures, and supporting corporate governance management. The Legal Counsel will handle routine regulatory inquiries as well as complex, time sensitive regulatory matters, and partner with Legal and Compliance teams across the enterprise on such matters. The Legal Counsel will also manage all broker/dealer related complaints, litigation and arbitration as well as oversee the work of outside counsel on such matters.
Principal Duties and Responsibilities:
Education, Skills and Experience:
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.
This position is currently accepting applications.