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 a Branch Office Examiner to join our organization. In this role, you will be responsible for planning, performing and documenting audits of Office of Supervisory Jurisdiction (“OSJ”) and Financial Professionals' offices to assure compliance with firm policies, regulatory rules and applicable statutes. You will collaborate inside the company with the Finance and Operations Departments, as well as with Registered and Unregistered Support Staff, Registered Representatives, and OSJ Managers and contract branch examiners.
Duties and Responsibilities:
- Plan pre-visit actions including research of prior audits and review of exception reports to identify potential red flags in trading practices, investments that conflict with customer suitability information and other potential issues that could result in a customer complaint or regulatory violations.
- Conduct onsite audits of Registered Representative and OSJ Manager Offices.
- Perform follow-up interviews to verify deficiencies noted during onsite audits have been corrected.
- Assist contract branch auditors in the preparation of information and itineraries to support contractor compliance audits.
- Assist in answering compliance-related inquiries.
Qualifications and Skills:
- High School Diploma required; Bachelor’s degree or equivalent work experience preferred
- A minimum of 2+ years of industry experience
- FINRA Series 7 license required at time of hire
- Required to obtain FINRA Series 24 and Series 66 within 90 days of hire
- May be required to obtain the FINRA Series 4 or Series 53
- Excellent verbal and written communication skills
- Ability to prioritize and address multiple projects and meet delivery deadlines is critical
- Attention to detail and the ability to organize, prioritize, and excellent follow-up skills are critical
- A solid understanding of Microsoft Office applications
- Knowledge of RegEd, Pershing’s NetX360, Albridge Solutions, SunGard is a plus
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