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Below are the current job openings at Triad Advisors. Please send your cover letter and resume to careers@triad-advisors.com. Please include desired position in the Subject line.

Advisory Services Associate

Job Description

Triad Advisors, Inc., is a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor (RIA). We are pioneers and leaders in the Hybrid RIA marketplace. We provide a comprehensive platform of products, trading and technology systems, as well as customized wealth management solutions and are recognized as one of the most successful and fastest-growing independent broker-dealers in the industry. Triad has more than 600 representatives/advisors in 40 states servicing more than $26 billion in client assets.

Triad Advisors is expanding financial advisor consultative support and has an exciting opportunity for an Advisory Services Associate to join our team located in Norcross, GA. The Advisory Services Associate will report to the SVP of Advisory Services.

The Advisory Services Associate is an internal advisor facing role that will work with advisors and internal colleagues to implement improvements to the platform of fee-based services. The individual will assist advisors in improving their understanding of industry changes and use of the platform including access to relevant money managers, technology, and other appropriate strategic partners.

Responsibilities

Essential functions include the following. Other duties may be assigned.

Advisor Business Development

  • Provide consultative support to advisors on all of, but not limited to:
  • Operational best practices and growth strategies
  • Investment management options
  • Demonstration of internal and outsourced practice management tools
  • Present advisor education and training
  • Proactive advisor outreach
  • Gather and analyze key data points to identify areas for growth/improvement

Consultation and Service Offering

  • Offer daily support to financial advisors and their staff
  • Direct information searches to appropriate resources
  • Work actively in problem resolution and escalation processes
  • Assist with creation of resources to support trending issues/questions
  • Act as a liaison to internal colleagues
  • Coordinate with operations, technology, products, and compliance teams
  • Comprehensive issue resolution
  • Training and education
  • Ensure accuracy of resources such as sales materials and intranet content
  • Messaging related to new processes, solutions, and tools
  • Organize internal education efforts

Other Primary Contacts: This position will have extensive interaction with customers and cross-functional teams within Triad Advisors. 


Skills and Experience Required

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

EducationBachelor’s degree in Business, Finance or related field required.

Experience3+ years experience in the financial services industry required.

KnowledgeKnowledge of National Financial Services, FBSI, Wealthscape and/or Salesforce preferred.

Language SkillsAbility to read, analyze, and interpret common scientific and technical journals, financial reports and legal documents. Ability to respond to common inquiries or complaints from customers, regulatory agencies, or members of the business community.

Mathematical SkillsAbility to add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals. Ability to compute rate, ratio and percent and to draw and interpret bar graphs.

Reasoning AbilityAbility to define problems, collect data, establish facts and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.

Other Required Skills and Abilities

  • Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
  • Strong interpersonal and team-building skills.
  • Excellent verbal and written customer service, telephone, troubleshooting and communication skills.
  • Strong customer service skills required.
  • Possess excellent organizational skills with the flexibility to readily adapt to change.
  • Must be detailed oriented, able to multi-task and have the ability to implement projects consistent with established Company and customer objectives.
  • Ability to work in a results oriented environment and to meet deadlines and service standard metrics.

Certifications, Licenses and RegistrationsFINRA 7 and 66 licenses required. (or ability to obtain in 6 months)

Additional Details

Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.While performing the duties of this job, the employee is regularly required to sit and talk or hear. The employee is frequently required to use their hands and arms. The employee is frequently required to stand and walk.

Work EnvironmentThe work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The Company is hazard free, smoke free and drug free. The noise level in the work environment is usually quiet. The position will be inside office environment 90% of the time.

Equal Employment Opportunity and Affirmative Action Statement of PolicyIt is the policy of the Company not to discriminate on the basis of gender, race, color, religious creed, national origin, age, sexual orientation, gender identity, physical or mental disability, and/or protected veteran status, or other protected characteristic with regard to any employment practices, including recruitment, advertising, job application procedures, hiring, upgrading, training, promotion, transfer, compensation, job assignments, benefits and/or other terms, conditions, or privileges of employment, provided the individual is qualified, with or without reasonable accommodations, to perform the essential functions of the job. This policy applies to all jobs at the Company. The Company will continue to take affirmative action to employ and advance in employment women, minorities, individuals with disabilities, and protected veterans and to treat qualified individuals without discrimination based upon their gender, race, color, religious creed, national origin, age, sexual orientation, gender identity, physical or mental disability, and/or protected veteran status, or other protected characteristics in all employment practices. The Company is an Equal Opportunity Employer.

Job descriptions are not intended as and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.


Please send your cover letter and resume to careers@triad-advisors.com.
Please include desired position in the Subject line.

Executive Assistant

Job Description

Triad Advisors, Inc., is a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor (RIA). We are pioneers and leaders in the Hybrid RIA marketplace. We provide a comprehensive platform of products, trading and technology systems, as well as customized wealth management solutions and are recognized as one of the most successful and fastest-growing independent broker-dealers in the industry. Triad has more than 600 representatives/advisors in 40 states servicing more than $26 billion in client assets.

Triad Advisors has an exciting opportunity for an experienced, reliable, detail oriented Executive Assistant to join our team located in Norcross, GA. The Executive Assistant will work directly with C-level executives and will be responsible for performing a number of administrative duties. The ideal candidate is highly self motivated, professional and capable of managing their work and prioritizing tasks in a fast paced corporate environment.

Responsibilities

Essential Functions include the following. Other duties may be assigned.

  • Completes and broad range of administrative tasks including: managing an active calendar of appointments; completing expense reports; composing and preparing correspondence that is sometimes confidential; arranging complex and detailed travel plans, itineraries, and agendas; and compiling documents for travel related meetings.
  • Plans, coordinates and ensures the executives’ schedules are followed and respected. Provides “gatekeeper” and gateway role, creating situations for direct access to the executives’ time and office.
  • Provides a bridge of smooth communication between the executive offices and internal departments; demonstrating leadership to maintain credibility, trust and support with senior staff. 
  • Works closely and effectively with executives to keep them well informed of upcoming commitments and responsibilities, following up appropriately. 
  • Provides leadership to build relationships crucial to the success of the organization, and manages a variety of special projects for the executives, some of which may have organizational impact. 

  • Successfully completes critical aspects of deliverables with a hands-on approach, including drafting acknowledgement letters, professional correspondence, and other tasks that facilitate the executives' ability to effectively lead the company.

  • Prioritizes conflicting needs; handles matters expeditiously, proactively and follows-through on projects to successful completion often with deadline pressures.

Additional Responsibilities 


  • Analyzes current processes and procedures, recommending new systems or standard operating procedures to maximize the efficiency and accuracy of the organization.

  • Successfully interacts with management and other departments within the organization.

  • Assists other team members when needed.
  • Completes required reports and records accurately and promptly.
  • Attends meetings and training as required.
  • Keeps executives informed of area activities and of any significant problems or concerns.
  • Contributes to the fulfillment of Company objectives and goals.
  • Adheres to established security safeguards, procedures and other Company policies.
  • Performs other duties, as assigned.

Other Primary Contacts: This position will have extensive interaction with customers, visitors, vendors, and cross-functional teams within Triad Advisors. 

Skills and Experience Required

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

EducationBachelors Degree in Business, Communications, Journalism or relevant field

Experience: 3-5 years of applicable executive level support experience, preferably in financial industry. Experience in internal and external communications, partnership development and relationship management.

Language SkillsAbility to read, analyze, and interpret common scientific and technical journals, financial reports and legal documents. Ability to respond to common inquiries or complaints from customers, regulatory agencies, or members of the business community. Ability to effectively present information to top management, public groups and/or boards of directors.

Mathematical SkillsAbility to add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals. Ability to compute rate, ratio and percent and to draw and interpret bar graphs.

Reasoning AbilityAbility to define problems, collect data, establish facts and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.

Other Required Skills and Abilities

  • Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
  • Reliable, punctual, resourceful, and efficient.
  • Able to anticipate needs and be self-guided
  • Positive and professional presence.
  • Ability to use judgement in resolving issues.
  • Must be able to effectively communicate with all levels of personnel and external contacts.
  • Maintain a high degree of ethics and professionalism.
  • Ability to multi-task and prioritize, and maintain a calm, professional demeanor.
  • Must be self-motivated, highly detailed and organized; takes initiative to make or adapt to changes.
  • Must be able to work both independently and as a team member and maintain confidentiality of employee information.

Additional Details

Physical DemandsThe physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit and talk or hear. The employee is frequently required to use their hands and arms. The employee is frequently required to stand and walk.

Work EnvironmentThe work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The Company is hazard free, smoke free and drug free. The noise level in the work environment is usually quiet. The position will be inside a hospital environment 90% of the time. Uncrating machines could take place in a dock environment with exposure to outdoor temperatures.

Equal Employment Opportunity and Affirmative Action Statement of PolicyIt is the policy of the Company not to discriminate on the basis of gender, race, color, religious creed, national origin, age, sexual orientation, gender identity, physical or mental disability, and/or protected veteran status, or other protected characteristic with regard to any employment practices, including recruitment, advertising, job application procedures, hiring, upgrading, training, promotion, transfer, compensation, job assignments, benefits and/or other terms, conditions, or privileges of employment, provided the individual is qualified, with or without reasonable accommodations, to perform the essential functions of the job. This policy applies to all jobs at the Company. The Company will continue to take affirmative action to employ and advance in employment women, minorities, individuals with disabilities, and protected veterans and to treat qualified individuals without discrimination based upon their gender, race, color, religious creed, national origin, age, sexual orientation, gender identity, physical or mental disability, and/or protected veteran status, or other protected characteristics in all employment practices. The Company is an Equal Opportunity Employer. 

Job descriptions are not intended as and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.

Please send your cover letter and resume to careers@triad-advisors.com.
Please include desired position in the Subject line.

RIA Compliance Manager

Job Description

Triad Advisors, Inc. is a national, independent broker/dealer and multi-custodial SEC-Registered Investment Advisor (RIA). We are pioneers and leaders in the Hybrid RIA marketplace. we provide a comprehensive platform of products, trading and technology systems, as well as customized wealth management solutions and are recognized as one of the most successful and fastest-growing independent broker/dealers in the industry. Triad has more than 600 representatives/advisors in 40 states servicing more than $26 billion in client assets.

Triad Advisors has an exciting opportunity for an RIA Compliance Manager to join our team located in Norcross, GA. The RIA Compliance Manager will report to the Deputy Chief Compliance Officer of the RIA and will provide support services to both advisors under the Triad Advisors Corporate RIA and those advisors with their own independent RIA.

Responsibilities

Essential functions include the following. Other duties may be assigned.

  • Assist in the regulatory oversight, risk management, and policy implementation of all investment advisory relationships for affiliated and associated advisors with RIAs.
  • Perform and/or oversee all daily, weekly, monthly and quarterly compliance reviews.
  • Assist advisors with questions related to their SEC and/or state examination and form ADV filings.
  • Responding to registration and compliance questions from current and prospective investment advisors.
  • Provide guidance to Operational groups related to client fee billing process and processing of investment advisory agreements.
  • Assist with the Firm’s Form ADV, Code of Ethics and compliance manual updates
  • Draft content and periodic releases on compliance issues of interest to investment advisors.
  • Assist with the response to regulatory inquiries
  • Experience with any of the following systems is also desirable: Salesforce, the Sungard Protegent system (for trade and account activity review), Fidelity, TD & Schwab web interfaces.

Supervisory Requirements

  • Carries out supervisory responsibilities in accordance with the Company's policies and applicable laws.
  • Responsibilities include assistance with interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance, rewarding and disciplining employees, addressing complaints and resolving problems.
  • Leads by example and serves as a role model for exceeding expectations of customers, and of fellow employees.
  • Meets with direct reports informally on a one-on-one basis to review priorities, and maintain working knowledge of customer issues or activities. Uses crosstraining methods to continually develop skills of staff members. 

  • Utilizes coaching methods to improve performance. Plans ahead to deliver outstanding annual staff reviews by providing regular feedback, addressing training issues, and making adjustments to give all staff members the tools they need to succeed.
  • Empowers staff to make sound decisions, take initiative, and develop business opportunities.

Other Primary Contacts: This position will have extensive interaction with advisors and cross-functional teams within Triad Advisors.

Skills and Experience Required

  • Working knowledge of the Advisers Act, SEC rules and regulations. Knowledge of securities products, investment advisory services and/or ERISA fiduciary rules.
  • Thorough understanding of managed accounts including wrap free programs and third-party asset managers.
  • Familiarity with conflict of interest responsibilities and concepts.
  • Well-developed analytical and project management skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously.
  • Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
  • Exceptional interpersonal and team-building skills; customer service oriented.
  • Excellent verbal and written customer service, telephone, troubleshooting and communication skills.
  • Excellent organizational skills with the flexibility to readily adapt to change.


Additional Details

QualificationsTo perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

EducationBachelor's degree in Business, Accounting, Finance or related discipline preferred

Experience3-5 years of investment advisory experience with direct or indirect exposure to compliance.

Certifications, Licenses and RegistrationsFINRA Series 65 or Series 7 & 63/66. CFP, CFA, ChFC or PFS a plus.

Physical DemandsThe physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit and talk or hear. The employee is frequently required to use their hands and arms. The employee is frequently required to stand and walk.

Work EnvironmentThe work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The Company is hazard free, smoke free and drug free. The noise level in the work environment is usually quiet. The position will be inside office environment.

Equal Employment Opportunity and Affirmative Action Statement of PolicyIt is the policy of the Company not to discriminate on the basis of gender, race, color, religious creed, national origin, age, sexual orientation, gender identity, physical or mental disability, and/or protected veteran status, or other protected characteristic with regard to any employment practices, including recruitment, advertising, job application procedures, hiring, upgrading, training, promotion, transfer, compensation, job assignments, benefits and/or other terms, conditions, or privileges of employment, provided the individual is qualified, with or without reasonable accommodations, to perform the essential functions of the job. This policy applies to all jobs at the Company. The Company will continue to take affirmative action to employ and advance in employment women, minorities, individuals with disabilities, and protected veterans and to treat qualified individuals without discrimination based upon their gender, race, color, religious creed, national origin, age, sexual orientation, gender identity, physical or mental disability, and/or protected veteran status, or other protected characteristics in all employment practices. The Company is an Equal Opportunity Employer.

Job descriptions are not intended as and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.

Please send your cover letter and resume to careers@triad-advisors.com.
Please include desired position in the Subject line.