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Form of workAre 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 Registration Specialist. The Registration Specialist will utilize their expertise to perform a wide variety of administrative duties that support the Registration and Licensing Department as it relates FINRA licensing and registration, state registration and continuing education of all registered persons.
Join a team that is spread across the country and moving to a shared service approach from individual branches. Are you someone that thrives in a fast-paced environment and flexible to pivot when needed? We would like to talk to you.
Location: This position may be done HYBRID out of one the following home office locations:
- San Diego, CA: 10150 Meanley Drive, 92131
- Houston, TX: 11740 Katy Freeway, Energy Tower III Ste 600, 77079
- Syracuse, NY: 100 Madison Street, 13202
The anticipated annual base salary range for this position is $44,000 to $56,000. Exact compensation may vary based on skills, experience, and location.
What you will do:
- Maintain internal systems as it relates to Registration and Licensing
- Process affiliation of new associated persons
- Process termination of associated persons
- Preparation and processing of all Form U4s (includes initial and amendment filings)
- Preparation and processing of all Form BD branch filings
- Preparation and processing of state-specific branch filings
- Process State/Jurisdiction securities registration for associated persons
- Process annual individual and branch registration renewals
- Submissions and follow up of fingerprints
- Submission of initial and annual renewal of Errors and Omissions (insurance) coverage
- Open securities exam window and registration of exam completions
- Process U4 amendment for approved Outside Business Activities (OBA's)
- Tracking and reporting of monthly company-wide metrics of associated persons
- Monitor associated persons compliance with firm element and FINRA regulatory continuing education
- Processes Rep and associated persons termination filings
- Processes and compile identified pre-registration reports for associated persons
- Provide assistance to associated persons both for securities and insurance on a daily basis
- Provide customer service to representative and branch managers as needed on a daily basis.
What you will bring:
++Must Haves++
- High School Diploma or GED Equivalency 2+ years of experience with Microsoft Office Suite 2+ years of experience in a professional office setting.
- Applicant must be proficient in Microsoft Word, Excel and Outlook.
- Strong customer service skills
- Effective interpersonal skills
- Strong organizational skills
- Strong analytical skills
- Ability to manage time effectively.
- Ability to make decisions quickly and decisively.
- Ability to work independently onsite or remotely.
++Preferred++
- Prior experience with FINRA licensing and registration, state registration and continuing education.
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 Holidays and 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) 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.
