Jobs and Careers

Senior Compliance Analyst

United States - Remote, United StatesRemotefull_timeVerifiedPosted 1 May 2024

About the role

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: