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 RIA Compliance Manager 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.
Duties and Responsibilities
- Assists and responds to regulatory inquiries, examinations, internal audits, and other reviews.
- Creates and conducts compliance training as assigned.
- Develops and maintains various Advisory Compliance functions.
- Assists Corporate Counsel and/or other outside auditors with annual advisory audit.
- 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.
- Support firm initiatives by representing the Advisory Compliance Department in a collaborate environment with cross functional teams.
- Assists Corporate Counsel and/or other outside auditors with annual advisory audit by support both internal and outside auditors
- Conducts initial and ongoing evaluations of third party Registered Investment Advisers
- Conduct risks assessments and testing of IA compliance programs
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.
- 3+ Years of experience in Advisory Compliance or related experience.
- Working knowledge of the Investment Adviser’s Act of 1940 and general knowledge other investment related regulations.
- FINRA Series 63 & 65 or 66 required. FINRA Series 7 & 24 a plus.
- Ability to read, analyze, and interpret regulatory disclosures and disclosures, as well as general business periodicals, professional journals, technical procedures, or governmental regulations.
- Proficient with Microsoft Office (e.g., Word, Excel, PowerPoint, etc.)
- Ability to build consensus among managers and employees across departments.
- 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.
Atria Wealth Solutions and its affiliated entities are equal opportunity employers that are committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws.
This policy applies to all employment practices within our organization, including hiring, recruiting, promotion, termination, layoff, recall, leave of absence, compensation, benefits, training, and apprenticeship. Atria Wealth Solutions and its affiliated entities make hiring decisions based solely on qualifications, merit, and business needs at the time.
It’s time for the next step in your career. Apply now.