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 Compliance Assistant. This role will utilize their expertise to perform a wide variety administrative duties that support the Branch Examination and Registration and Licensing Departments. 1 year of experience in the Broker Dealer industry preferred, non-exempt position. 

This position may be performed out of the Houston, Texas office location: 2500 Wilcrest Drive, TX 77042

Duties and Responsibilities:

• Assist Compliance Manager in tracking firm and designated person insurance license renewals.
• Maintenance of Insurance License data in company system (RegEd Xhange).
• Assist examiners with pre-exam preparation (pulling trade blotters, obtaining pre-exam questionnaires, etc.
• Scan documents obtained by examiners during onsite exams.
• Assist examiners in uploading documents obtained during exams (Auditrax).
• Review of exams conducted by company personnel, ensuring documents are uploaded successfully.
• Provide administrative assistance to the field examiners as necessary.
• Back up of Registration and Licensing Department as needed.
• Assist in the collection of data and reports needed to reply to regulatory requests.
• Special projects (E&O Renewals, annual registration renewals, firm element tracking, etc.) as needed.

Requirements:

• Bachelor’s degree or equivalent work experience
• Working knowledge of FINRA/SEC and state regulations preferred
• Clerical experience including understanding of Microsoft Office applications (Word and Excel) and other PC software
• Strong organizational skills, attention to detail attention to detail, and demonstrated ability to organize, prioritize and address multiple projects with various deadlines
• Excellent interpersonal and communication skills

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.