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 Compliance Specialist to assist in the firm's regulatory obligations by providing oversight of the day to day Broker/Dealer operations. This role will work primarily to review, update or write policy & procedures to guide our registered financial advisors. We offer a rewarding career path and potential for advancement as well as good benefits. Our collaborative culture offers community through shared goals and strong work ethics. Location: This position may be done HYBRID out of one the following home office locations: * Houston, TX: 11740 Katy Freeway, Energy Tower III Ste 600, 77079 * San Diego, CA: 10150 Meanley Drive, San Diego 92131 * Syracuse, NY: 100 Madison Street, 13202 * Remote - USA for the right candidate The anticipated annual base salary range for this position is $65,000 to $85,000. Exact compensation may vary based on skills, experience, and location. What you will do: * Policy and procedure writing and field communications * Manage forms updates/changes as needed * Assist with 3120 & 206(4)-7 productions, heightened supervision reviews, monitoring firm and state requirements * Review Sponsor Marketing Reimbursements * Monitor and review Gift Logs * Personal Securities Account Administration * Monitor general compliance mailboxes and field inquiries * Maintain Client Opt Out List and notifications to advisors * Assist with signature guarantee oversight reviews * Assist with licensing and registration functions * Assist with any other functions or projects as assigned. What you will bring: ++Must Haves++ * FINRA Series 7 & 24 (or equivalent) required. * Bachelor's degree or a combination of work experience/education. * Two or more years of related work experience in a securities firm, financial services organization, legal, regulatory, compliance or similar role. * Strong analytical and organizational skills. * Ability to handle numerous tasks at one time with accuracy and detail. * Strong written and verbal communication skills. * Work individually or as a team, meet all assigned deadlines. * Basic computer skills, including spreadsheet and word processing software programs. ++Nice to Haves++ * FINRA Series 4, Series 53, and Life insurance license a plus. Why work at Atria? In addition to a competitive salary, we provide a full benefits package that includes: * Medical & Prescription Drug Insurance * Health Advocacy * Telehealth * Dental Insurance * Vision Insurance * Health Savings Account * Flexible Spending Accounts * Short-Term Disability Insurance * Long-Term Disability Insurance * Life Insurance * Paid time off, Paid Holiday, Paid Birthday * Critical Illness, Accident & Hospital Indemnity Coverage * Identity Theft * Employee Assistance Program * Pet Insurance * Legal Plans * Virtual Therapy * Virtual Mental WellCare * Long-Term Care * Retirement 401(k) Savings Plan with matching At Atria, we consider Diversity, Inclusion, and Belonging to be essential to our success, and we are working to integrate it into the fabric of our organization. Our commitment to Diversity, Inclusion, and Belonging is key to our culture and values, and critical for great products, and satisfied customers. 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.