Compliance Analyst / Surveillance
Company: Atria Wealth Solutions
Location: Syracuse
Posted on: June 24, 2022
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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 Surveillance Compliance Analyst to join our
organization. FINRA licenses are required in this role as the
Analyst is be responsible for monitoring and testing across various
lines of business, functions, and operating departments.
In this position, you can work form any one of the following
locations:
Duties and Responsibilities:
Qualifications and Skills:
Why work at Atria?
In addition to a competitive salary, we provide a full benefits
package that includes:
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
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.
Keywords: Atria Wealth Solutions, Syracuse , Compliance Analyst / Surveillance, Professions , Syracuse, New York
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