Looking for a New Job? kartikent.com is one stop place for searching new job openings.
We got a new job details in Atria Wealth Solutions & they are Hiring Candidates for Branch Office Examiner
Company Name : Atria Wealth Solutions
Company Location : United States
Job Position : Branch Office Examiner
Job Category : Jobs in United States
Job Description :
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 Office 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.
In this position, you can work from any one of the following locations:
Fully Remote – USA
San Diego, CA
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.
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 60-80% travel.
Why work at Atria?
In addition to a competitive salary, we provide a full benefits package that includes:
Prescription drug benefits
Retirement savings 401(k) plan with matching
Paid time off
Critical illness insurance
Veterinary pet insurance
Employee assistance program
Short & long-term disability insurance
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.
Disclaimer : We are just publishing information regarding new job openings and not legally responsible for any Post. Candidates are requested not to pay any money to anyone posing as kartikent.com