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Title

Assistant Vice President, Advisory Compliance  

Division NEXT Financial Group, Inc.  
Position Assistant Vice President, Advisory Compliance  
Location Houston, TX  
Full-Time/Part-Time -unspecified-  
Description

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 Assistant Vice President of Advisory Compliance to join our organization. In this role, you will be responsible for assisting in the development of the advisory compliance program for the Registered Investment Adviser subsidiaries of Atria Wealth Solutions, including policy creation, strategic projects, and procedure review. The Assistant Vice President of Advisory Compliance will spend their days managing important aspects of the RIA Compliance Program.

Duties and Responsibilities

  • Ensure appropriate regulatory policies, procedures and controls are established, maintained, and well documented.
  • Updates and files the firm’s ADVs to ensure they are maintained in a current manner.
  • Prepares for and responds to regulatory inquiries, examinations, internal audits, and other reviews.
  • Reviews and contributes to due diligence process on advisory products.
  • Conducts assessments and testing of IA compliance programs
  • Creates and conducts compliance training as assigned.
  • Assists with annual advisory audit by support both internal and outside auditors.
  • Partners with the Legal team to proactively analyze and manage changes to regulatory requirements.
  • Provides guidance and support to our financial advisors and business partners.
  • Assists with investigative process for escalated customer and representative compliance issues as necessary.
  • Identifies potential representative disciplinary issues and assists in response as needed.
  • Represents the Advisory Compliance Department in cross functional firm initiatives.
 
Position Requirements

Qualifications and Skills

  • Bachelor's degree (B. A. / B.S.) from four-year college or university; or five to six years related experience and/or training; or equivalent combination of education and experience.
  • 5+ Years of experience in Advisory Compliance or related experience.
  • FINRA Series 63 & 65 or 66 required. FINRA Series 7 & 24 a plus.
  • Expertise in Investment Adviser’s Act of 1940 and general knowledge in other financial regulations.
  • Ability to read, analyze, and interpret regulatory disclosures and disclosures, as well as general business periodicals, professional journals, technical procedures, or governmental regulations.
  • Demonstrated experience with Rule 206(4)7 testing, conducting risk assessments, updating Form ADV, as well as drafting policies and procedures.
  • Proficient with Microsoft Office (e.g., Word, Excel, PowerPoint, etc.)
  • Ability to manage and effectively influence while providing advice and guidance.
  • Advanced Skill to independently identify and analyze compliance issues.
  • Strong Ability to build consensus among managers and employees across departments.
  • Advanced knowledge of RIA and industry regulation.
  • Ability to work independently on strategic projects with minimal oversight.
  • Excellent oral and written communication skills.
  • Strong critical thinking skills and be an ardent problem solver.
  • Designations a plus (IACCP, CFP, etc.)

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 www.atriawealth.com.

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

 

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