Surveillance Analyst

at  Atria Wealth Solutions

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 an Account Specialist to join our amazing tech team. To achieve success this position will need to have a strong communication skillset, attention to detail, and a persistent follow-through attitude.

Location: This position may be done HYBRID out of one the following home office locations or fully remote:

• San Diego, CA: 10150 Meanley Drive, San Diego 92131
• Fully Remote - USA

Compensation: 36,000 – 40,000

POSITION SUMMARY:

The Compliance Surveillance Analyst will perform the assigned functions, as outlined below, and conduct monitoring and testing across various lines of business, functions, and operating departments.

PRINCIPAL DUTIES AND RESPONSIBILITIES: (explain fully)

• 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 and 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

EDUCATION, SKILLS, AND EXPERIENCE:

• Bachelor’s degree or 2+ years of compliance experience
• 2+ years of financial services experience
• FINRA series 7, 24 and 63 (or 65) licenses required or ability to acquire in 6 months
• Strong analytical and problem-solving skills
• Excellent interpersonal and communication skills
• Possess adaptability/flexibility and organizational sense
• Able to work collaboratively with the team
  C7TkU0umY

• 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 and 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 testin