Branch Compliance Examiner / Finra

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 a Branch Compliance Examiner. In this role the BOE will utilize their expertise to plan, perform and document branch examinations of Office of Supervisory Jurisdiction (“OSJ”) and Registered Representative offices to assure compliance with firm policies, regulatory rules and applicable statutes.

Location: This position may be done HYBRID out of one the following home office locations and 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, 13202
• Remote – USA for the right candidate

The anticipated annual base salary range for this position is $70,000 to $90,000. Exact compensation may vary based on skills, experience, and location.

Duties and Responsibilities:

• Plan, perform and document remote and on-site examinations of Atria Wealth Solutions branch offices throughout the United States.
• Work with OSJ Managers and/or Registered Representatives to resolve any deficiencies identified.
• Perform follow-up to ensure all deficiencies noted during the exam have been corrected.
• Assist contract branch examiners in the preparation of information and itineraries to support contractor examinations.
• Function as a liaison between OSJs, representatives and the home office.
• Work with other members of the department during any regulatory examinations of the home office or branch offices.
• Assist in answering compliance related inquiries.
• Keep abreast of regulatory changes and firm policies and procedures.

Requirements:

• Bachelor’s degree or equivalent job experience required.
• Minimum or 2+ years of industry experience. Compliance experience is a plus.
• Series 7 required.
• Series 24 must be obtained within 90 days of hire.
• Position requires up to 60% travel.

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.

It’s time for the next step in your career. Apply now.

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