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 Advisory Compliance Analyst to join our organization. In this role, you will be responsible for supporting advisory compliance and registration functions as required by FINRA, SEC, and state securities regulations.
Duties and Responsibilities:
- Conducts surveillance and review of advisory exception reports.
- Conducts ongoing advisory surveillance of sales trends.
- Assists in research of advisory compliance related projects.
- Assists in preparation of advisory regulatory responses and filings as assigned.
- Conducts advisory compliance training for representatives and assistants as assigned / needed.
- Responds to general advisory compliance inquiries from the field.
- Assists with general compliance matters as assigned including, but not limited to, periodic pre-audit reports as assigned.
- Conducts annual supervisory audits of OSJ branches as assigned.
- Reviews representative and immediate family personal brokerage account statement trading activity.
- Identifies potential representative disciplinary issues and assists in response as needed.
Qualifications and Skills:
- Bachelor's degree (B.A./ B.S.) from four-year college or university preferred
- FINRA Series 7, 24, and 65/63/66 (advisory state licensure) required
- 3-5 years of related experience and/or training
- Ability to recognize when a problem or issue requires additional parties to be consulted and the ability to use proper discretion and judgment when dealing with internal and external difficulties.
- Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations.
- Ability to write reports, business correspondence, and procedure manuals.
- Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public.
- Strong computer skills including Microsoft Office (Excel, Word, Outlook) are a must as well as strong multi-tasking skills.
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.