Advisory Compliance Analyst / Surveillance
Company: Atria Wealth Solutions, Inc.
Location: New York
Posted on: January 27, 2023
Job 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 anAdvisory Compliance
Surveillance Analystto join our successful organization. Our
company culture fosters and encourages innovation and growth by
promoting openness, flexibility and an entrepreneurial spirit.This
position is responsible for supportingadvisory compliance and
surveillance functionsas requiredbyFINRA, SEC, and state securities
regulations.Weoffer a rewarding career path and potential for
advancement as well as good benefits. Our collaborative culture
offers community through shared goals and strong work ethics. This
position may be done HYBRID from one of our home office locations
below or Fully Remote for the right candidate:
- Houston: 2500 Wilcrest Drive, Houston,TX 77042
- San Diego: 10150 Meanley Drive, San Diego, CA 92131
- Syracuse: 100 Madison Street, Syracuse, NY 13202
- Fully Remote - USAThe anticipated annual base salary range for
this position is $67,000 to $72,000.Exact compensation may vary
based on skills, experience, and location.What you will do:
- 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.
- Creates and conducts compliance training as assigned.
- Provides guidance and support to our financial advisors and
business partners.
- Assists with general compliance matters as assigned including,
but not limited to, periodic pre-audit reports as assigned.
- Identifies potential representative disciplinary issues and
assists in response as needed.What you will bring:Must haves+++
- Equivalent combination of education and experience.
- FINRA Series 7, 24
- 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.Preferred++
- Bachelors degree (B.A./ B.S.) from four-year college or
university preferred
- FINRA Series 65 or 66 preferredWhy 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 planAtria 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 over $100 billion of assets under
administration. For more information, please visit.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 timeIt's time for the next step in
your career. Apply now.
Keywords: Atria Wealth Solutions, Inc., New York , Advisory Compliance Analyst / Surveillance, Professions , New York, New York
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