Advertising Compliance Analyst / Finra Licensed

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.

We are looking for an Advertising Compliance Analyst that will be responsible for the review and approval of all forms of advertising submitted by advisors.  This may include stationary, print ads, television ads & program, radio ads & programs, websites, newsletters, client letters, social media content and email campaigns.

Location: This position may be done HYBRID out of one the following home office locations or Fully Remote for the right candidate:

• Houston, TX: 2500 Wilcrest Drive, Houston 77042 San Diego, CA (office move soon to 11740 Katy Freeway, Energy Tower III Ste 600, Houston, TX 77079)
• 10150 Meanley Drive, San Diego 92131 Syracuse
• NY: 100 Madison Street, Syracuse 13202

The anticipated annual base salary range for this position is $60,000 to $75,000. Exact compensation may vary based on skills, experience, and location.

What you will do:

• Receive and organize all incoming advertising submissions via mail, fax, email and web submission.
• Utilizing firm procedures and guidelines in association with applicable FINRA advertising regulations a review will be conducted of the item(s) submitted.
• Upon completing a review of the submission, a determination will be made as to whether the material is approved for use or whether the material needs changes to meet guidelines.
• The analyst will issue formal written approvals for items that meet guidelines these approvals will be delivered to the submitting advisor and his or her supervisor where applicable.
• The analyst will be responsible for organizing and imaging all materials involved in the process for books and record keeping.
• Monitoring and supervision of advisors’ social media accounts linked through Smarsh software.
• Electronic email communication retention & review utilizing Smarsh.
• Monitoring of television and radio advertisements. 
• Develop strong relationships with advisors their supervisors and assistants in order to help facilitate their marketing endeavors.
• Provide new and creative ideas to streamline processes and enhance overall supervision of advertising practices.
• Cross train to cover the department when other members are absent (vacations, attending conferences, etc.)

What you will have:

• Bachelor’s degree preferred; equivalent combination of education and experience.
• 2+ years of experience with FINRA advertising regulations review.
• FINRA Series 7 and 24 required.
• Strong computer skills of various software tools including Microsoft Word, Excel, Outlook, and the ability to learn various industry software.
• Phone and communication skills must be top notch as much of the position’s interaction is done over the phone and via email.
• Well-organized and very detail oriented.
• Ability to work with minimal management supervision.
• Career oriented to achieve personal growth as well as growth within the firm.
• Ability to adapt and work well within a fast-paced environment.
• Self-motivated, with the ability to multi-task on a variety of projects

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 over $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.

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