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