Senior Compliance Analyst
Atria Wealth Solutions, Inc. (Atria) is a wealth management solution 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 and investment adviser 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.
Location : This position may be done HYBRID out of one the following home office locations or fully remote : Houston, TX : 11740 Katy Freeway, Energy Tower III Ste 600, 77079 San Diego, CA : 10150 Meanley Drive, San Diego 92131 Syracuse, NY : 100 Madison Street, Syracuse 13202 Fully Remote - USA Compensation : 70,000 85,000 Position Purpose : The Senior Compliance Analyst assists the firm in mitigating certain risk conditions associated with client accounts and financial advisor activities.
This position is responsible for conducting the firm’s designated surveillance responsibilities. This position assists in the firm’s regulatory obligations by providing oversight of the day-to-day Broker / Dealer operations to identify and resolve compliance deficiencies, thereby enabling the firm to achieve high levels of compliance with industry regulations and firm policies.
The Analyst will possess broad capability and compacity. Essential Functions, Duties and Responsibilities : Review investment transaction data for problematic trading patterns and perform required follow-up (investments include but are not limited to : Variable Annuities, Unit Investment Trusts, Alternative Investments, Leveraged and Inverse ETFs, Crypto and Fixed Indexed Annuities) Review individual investment transactions for suitability and best interest considerations.
Review consolidated statements for compliance with firm policy. Review Investment Advisor Representative private securities transactions.
Review Retirement Plan 408(b)-2 compliance Track and review Gift and Entertainment Logs Track and review Medallion Signature Guarantee activity Identify, investigate, and resolve compliance violations and internal referrals.
Provide prompt responses to all departments of the firm, field representatives and branch office staff. Create, maintain, and follow department standard operating procedures.
Identify deficiencies in department and firm policies and procedures. Assist and provide backup to other compliance department personnel as needed to ensure department objectives are met.
Escalate concerns to department management. Assist with any other functions or projects as assigned. Required Education, Skills, and Experience : FINRA Series 7 & 24, 66 (or equivalent 65 / 63).
Bachelor’s degree or a combination of work experience / education. Four more years of related work experience in a securities firm, financial services organization, legal, regulatory, compliance 1or similar role.
Strong analytical and organizational skills. Ability to communicate compliance decisions confidently and tactfully. Ability to use sound judgment when interpreting regulatory guidance and applying it to reviews.
Ability to handle numerous tasks at one time with accuracy and detail. Strong written and verbal communication skills. Work individually or as a team, meet all assigned deadlines.
Basic computer skills, including spreadsheet, database and word processing software programs. Must have mobility to attend meetings with other team members and be able to travel, if requested.
Ability to handle conflict and challenging conversations with Financial Professionals Desired Education, Skills, and Experience : FINRA Series 4, Series 53, and Life insurance license a plus.
Why work at Atria? In addition to a competitive salary, we provide a full benefits package that includes : Medical & Prescription Drug Insurance Health Advocacy Telehealth Dental Insurance Vision Insurance Health Savings Account Flexible Spending Accounts Short-Term Disability Insurance Long-Term Disability Insurance Life Insurance Paid time off, Paid Holiday, Paid Birthday Critical Illness, Accident & Hospital Indemnity Coverage Identity Theft Employee Assistance Program Pet Insurance Legal Plans Virtual Therapy Virtual Mental WellCare Long-Term Care Retirement 401(k) Savings Plan with matching At Atria, we consider Diversity, Inclusion, and Belonging to be essential to our success, and we are working to integrate it into the fabric of our organization.
Our commitment to Diversity, Inclusion, and Belonging is key to our culture and values, and critical for great products, and satisfied customers.
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 operates the following wealth management subsidiaries that provide brokerage and advisory services : CUSO Financial Services, Sorrento Pacific Financial, Cadaret Grant, NEXT Financial Group, Western International Securities, SCF Securities and Grove Point Financial.
Atria’s subsidiaries together support close to 2,700 financial professionals with nearly $120 billion of assets under administration.
Each broker / dealer is a member FINRA / SIPC, and each advisory firm is a federally registered investment adviser. For more information, please visit 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.
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