Atria Wealth Solutions, Inc. (Atria) is a wealth management solution 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 and investment adviser 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.

We are seeking a proven compliance professional to serve as Chief Compliance Officer (CCO) responsible for the delivery of compliance program for CUSO Financial Services (CFS) and Sorrento Pacific Financial (SPF). As wholly owned subsidiaries of Atria, CFS and SPF are nationwide broker-dealers and Registered Investment Advisers that have always specialized in working with financial institutions.

Location: Hybrid out of the San Diego office.

The anticipated annual base salary range for this position is $190,000 to $240,000. Exact compensation may vary based on skills, experience, and location.

Duties and Responsibilities – What you will do

• Draft and maintain policies and procedures to ensure that broker-dealer compliance programs meet applicable laws and regulations and ensure that advisors’ operations are conducted in compliance with applicable policies and procedures
• Oversee compliance risk assessments and manage the department’s testing and monitoring program in accordance with regulatory expectations and best practices
• Review, revise and test compliance programs in accordance with rule 3120/3130, and 206(4)-7 standards
• Be a subject matter expert when dealing directly with financial professionals on a variety of compliance, regulatory and business/industry topics
• Provide recommendations to the business regarding the implementation of new rules and regulations
• Manage the compliance department supporting CFS & SPF.
• Providing thought leadership and proactively collaborating with other departments and financial professionals as needed to ensure compliance reviews, issues and/or concerns are resolved.
• Participating as a member of the Atria’s management and compliance leadership teams by providing input on strategic business planning, forecasting, and various company initiatives.
• Develop and deliver internal training programs for employees and financial professionals across the enterprise, including firm element and annual compliance meeting.
• Updating and filing the firm’s Form B/D and ADVs to ensure they are maintained in a current manner.
• Responding to regulatory inquiries, examinations, internal audits, and other reviews.
• Reviewing and contributing to due diligence on products and programs.
• Conducting assessments, surveillance, and testing of compliance programs
• Partnering with the legal and regulatory team to analyze and manage changes to regulatory requirements.
• Effectively consulting with financial advisory practices at all levels of their organization
• Assisting with investigative process for escalated customer and representative compliance issues as necessary.

Requirements – What we are seeking

++Must Haves+++

• 7-10+ years of industry experience related to Broker/Dealers and Registered Investment Advisors
• FINRA Series 7, 24, as well as 65 or 66 required.
• Subject-matter expertise as it relates to SEC & FINRA rules and regulations, including Regulation Best Interest, and the Investment Advisers Act of 1940.
• 5+ years of supervisory experience with strong ability to manage and effectively influence while providing advice and guidance
• Exceptional ability to interpret and communicate regulatory guidance verbally and in writing.
• Demonstrated experience with FINRA Rules 3120/310, Advisers Act Rule 206(4)7 testing, conducting risk assessments, updating Form ADV, as well as drafting policies and procedures.
• Exceptional analytical and investigative skills with capability to identify and analyze compliance issues.
• Track record of quickly learning and leveraging various pieces of software and proficiency in Microsoft Office Suite (Word, Excel, Project, PowerPoint)
• Able to operate in ambiguous, fast-paced environments and the ability to work under pressure and identify, prioritize, and resolve issues quickly

++Nice to Haves++

• Designations a plus (CRCP. IACCP, CFP, etc.)
• Bachelor's degree (B. A. / B.S.) from four-year college or university
• Experience in interreacting directly with financial services regulatory bodies (SEC, state, FINRA etc.) strongly preferred.
• Prior experience as a CCO of independent Financial Professional servicing dual-registrant strongly preferred.

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

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