Communications Compliance Manager / Marketing Regulatory Review

Company: Atria Wealth Solutions
Location: Houston
Posted on: March 19, 2023

Job Description:

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 looking for a Retail Communications Compliance Manger to support all general firm compliance functions as required by FINRA, SEC, and individual state securities and insurance regulatory organizations. This position may have both managerial and team lead responsibilities with compliance retail communication functions to include system administration, staffing assignments, and escalated reviews.Location: This position may be done HYBRID out of one the following home office locations:

• Houston, TX: 2500 Wilcrest Drive, Houston 77042 San Diego, CA (office move soon to 11740 Katy Freeway, Energy Tower III Ste 600, Houston, TX 77079)
• 10150 Meanley Drive, San Diego 92131 Syracuse
• NY: 100 Madison Street, Syracuse 13202The anticipated annual base salary range for this position is $80,000 to $100,000. Exact compensation may vary based on skills, experience, and location.What you will do:
  • Manages and tracks retail and corporate communication compliance reviews and approval process.
  • Manages ongoing supervision of social media and websites related to CFS/SPF business.
  • Investigates and prepares responses for customer complaints and escalated inquiries as assigned by compliance management and legal counsel with potential settlement negotiations.
  • Conducts reviews and approvals of retail communications, marketing, and other communications.
  • Supports development of compliance policies and procedures.
  • Conducts compliance training for representatives and assistants.
  • Conducts auditing tasks of annual supervisory branch examinations.
  • Supports compliance internal supervisory examinations.What you bring:
    • Bachelor's Degree and/or six to eight years of related experience
    • FINRA Series 7 and 24 required
    • FINRA Series 63 or 66 required
    • Strong computer skills including Microsoft Office (Excel, Word, Outlook) are a must as well as strong multi-tasking skills.
    • Quick problem solving and prioritizing is essential.
    • Strong oral and written communication skills. Ability to communicate, both written and orally, clearly with reps, customers, and other staff.
    • Strong attention to detail, including the ability to identify risk and when existing controls are not sufficient
    • Ability to adapt and work well within a fast-paced environment
    • Self-motivated, with the ability to multi-task on a variety of projectsWhy 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 planAtria 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.QbaGprz9NI

Keywords: Atria Wealth Solutions, Houston , Communications Compliance Manager / Marketing Regulatory Review, Executive , Houston, Texas