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Compliance Analyst / Surveillance

Company: Atria Wealth Solutions
Location: Syracuse
Posted on: June 24, 2022

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:

  • Fully Remote, USA
  • Syracuse, NY
  • San Diego, CA
  • Houston, TX

    Duties and Responsibilities:

    • General trade surveillance reviews, with a focus on potential sales practice exceptions
    • Monitor daily surveillance reports using exception reports and other tools
    • Review trade alerts and raise findings as needed
    • Analyze exception report data for trending purposes
    • Other assignments will include assisting with inquiries and exams, review of electronic communications
    • Undertake special compliance-related projects as assigned
    • Maintain accurate and organized compliance books and records
    • Assist in the development of annual test plans based on business and regulatory priorities
    • Lead and /or perform targeted reviews according to risk and annual test plan
    • Identify issues and work with accountable owners to develop action plans and report the results
    • Follow up on the issues, action plans, and track the status of remediation and report results
    • Perform ongoing monitoring of sales practice and supervision, operations, trading, cashiering function, etc.
    • Reporting and tracking of surveillance metrics
    • Respond to individual inquiries/issues from the management as it relates to surveillance monitoring, and testing functions, etc.
    • Function as a liaison with senior compliance functional leads to facilitate collaboration across the enterprise
    • Conduct other related tasks to support compliance surveillance, monitoring and testing

      Qualifications and Skills:

      • Bachelor's degree or 2+ years of compliance experience
      • 2+ years of financial services experience
      • FINRA series 7 and 63 (or 65) licenses required or ability to acquire in 6 months
      • FINRA series 24 license a plus
      • Strong analytical and problem-solving skills
      • Excellent interpersonal and communication skills
      • Possess adaptability/flexibility and organizational sense
      • Able to work collaboratively with the team

        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

          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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