Compliance Analyst, Triad Advisors

Retail Local Compliance Opportunity in Financial Services

Compliance Analyst – Triad Advisors

Preferred Location:     Norcross, GA

Accepting qualified candidates in all locations and remotely.

Summary:

We are seeking a Compliance Analyst to support Triad Advisors, a member of Advisor Group.  Our ideal Senior Compliance Analyst candidate is a highly motivated and action-oriented professional.  This role is responsible for assisting the Chief Compliance Officer in providing guidance and a high level of service to our financial professionals, and home office partners and contributes to the execution and effectiveness of the firm’s compliance program.    

Responsibilities:

• Daily verbal and written communication with Federal and State regulators, fellow employees (Legal, Supervision, Operations, Licensing, Exam Team) and Financial Advisors’, regarding regulatory/business-related matters such as regulatory inquiries (Firm, branch office, Financial Advisors,) outside business activities, continuing education, questions on general firm policy and procedures, issues or findings coming out of the firm’s exam program.
• Perform review of employee and Financial Advisors new hires
• Preparing Disciplinary Cases for the Executive Review Committee and executing decisions coming out of the committee.
• Perform various reviews on reports issued by Supervision and other areas of the firm for their adherence to their written Desk Top Procedures or Written Supervisory Procedures.
• Periodic reporting to management, covering open issues   
• All other duties as assigned.     

Education Requirements:

• Bachelor’s degree is required.

Basic Requirements:

• Minimum of three years of industry experience with a broker/dealer or similar, in compliance or legal  
• Ability to work independently.
• Excellent verbal and written communication skills.
• Ability to prioritize in a multi-task dynamic environment to meet deadlines.
• Ability to analyze complex compliance issues and provide recommendations and solutions.
• Awareness of current industry rules and regulations and regulatory initiatives.
• Detail oriented with a superior focus on customer service and flexibility.
• Proficient with Office applications (Microsoft Word, Excel, Outlook, Teams).
• Ability to learn quickly and become proficient with the Firm’s internal systems.

Preferred Requirements:

• FINRA Series 7 and 24 are preferred.

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.