Senior Compliance Analyst
Atria Wealth Solutions
- Syracuse, NY
- $70,000-85,000 per year
- Permanent
- Full-time
- 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
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.
- 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
- FINRA Series 4, Series 53, and Life insurance license a plus.
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