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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.

Deputy Chief Compliance Officer

Job Description

Triad Advisors, LLC., 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 Deputy Chief Compliance Officer to join our team located in Norcross, GA. The Deputy Chief Compliance Officer will report to the Chief Compliance Officer and will have the responsibility of managing the RIA compliance program, policies and procedures for the Firms; two RIA’s. The ideal candidate will have significant and broad experience in a compliance role with a sizeable SEC-registered investment advisor and also have experience in the independent broker-dealer channel. The position also requires the successful candidate to have a consultative approach to support our advisor’s independent RIA entities. 

Responsibilities

  • Maintain and manage a comprehensive compliance program for the RIAs that meets all of the requirements of regulatory agencies. 
  • Assess risks, conduct testing, and assist in establishing controls to mitigate risks, on an ongoing basis and when new rules are issued by regulatory agencies. 
  • Complete periodic reviews and audits of compliance program and policies. 
  • Complete annual and other updates to Form ADV (as required) and annual distribution of ADV offer letter. 
  • Maintain compliance manuals, written policies, and written procedures. 
  • Provide guidance for advertising and marketing materials to ensure compliance with appropriate regulations. 
  • Maintenance of the Firm's Code of Ethics including monitoring of personal securities transactions and gifts and entertainment. 
  • Respond to regulatory requests and play a leading role during regulatory examinations. 
  • Respond to internal and external client and advisor requests. 
  • Provide consultative services to independent RIAs affiliated with the firm. 
  • Integrate effectively with the firm's operations, management, and marketing teams to bring a compliance voice into daily service activities. 
  • Guide and manage RIA compliance staff. 
  • 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, Black Diamond, 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 regulations.
  • 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 and uses cross-training 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

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.

  • Thorough 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 fee programs and third-party asset managers. 
  • Familiar 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

Education: Bachelor's degree from an accredited university in Business, Accounting, Finance, or related discipline preferred

Experience: 5+ years of RIA experience with thorough knowledge of the registered investment advisor business from a product, corporate governance, compliance and administrative perspective. Broker/dealer and dual registrant experience. 

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

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 Environment: The 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 Policy: 

It 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 characteristicwith 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 characteristicsin 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.

Home Office Principal II

Job Description

Triad Advisors, LLC, 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 a Home Office Principal II to join our team located in Norcross, GA. The Home Office Principal II will report to the Manager of Supervision and will provide offsite OSJ support services to a region of branch offices. 

Responsibilities

The Home Office Principal II will be responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. This role will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set by regulatory agencies and the firm. 

Essential Functions Include the Following: 

  • Reviews and approves new account applications, transactions on a trade blotter, variable annuities, mutual funds, and securities transactions for suitability and required documentation. 
  • Reviews advisor emails and client correspondence. 
  • Serves as the primary point of contact for all compliance-related matters for assigned advisors. 
  • Conducts business practice reviews as needed and investigates sales practice concerns as they arise. 
  • Serves as point person for Investigations and Risk Review Departments and recommends disciplinary action as needed. 
  • Serves on various committees and projects as determined by management. 
  • Assists with regulatory exams and requests as well as assists with the maintenance of the department's written supervisory procedures. 
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. 

  • Ability to travel is required to conduct branch office visits, attend regulatory conferences and training sessions
  • Knowledge of investment services, products, practices, and general market trends
  • Well-developed analytical and project management skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously 
  • Working knowledge of Microsoft Office and other web-based applications
  • Strong knowledge of FINRA, SEC, and state rules and regulations
  • Ability to develop compliance systems and strategies for effective supervision 
  • Exceptional interpersonal and team-building skills
  • Excellent verbal and written customer service, telephone, troubleshooting, and communication skills
  • Possess excellent organizational skills with the flexibility to readily adapt to change

Additional Details

Education: Bachelor's degree in Business, Accounting, Finance or related discipline preferred. 

Experience: 4+ years industry experience required.

Certifications, Licenses, and Registrations: FINRA Series 7, Series 24, Series 63/66 and insurance license designations. Series 4 and 53 licenses a plus.

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 Environment: The 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 Opportunity and Affirmative Action Statement of Policy: It 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.

Vice President of Business Development

Job Description

Triad Advisors, LLC is a national, independent advisory and brokerage 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 advisory and brokerages in the industry. Triad has more than 600 representatives in 40 states servicing more than $26 billion in client assets.

Triad Advisors has an exciting opportunity for a Vice President of Business Development to join our team located in Norcross, GA. The Vice President of Business Development will report to the EVP, Chief Strategy Officer and will prospect, develop, and qualify registered representatives and investment advisors to join Triad Advisors. 

Responsibilities

The primary responsibility for this position is to identify, qualify, and successfully recruit registered representatives and investment advisors to join Triad Advisors. Additional responsibilities include hosting prospect meetings, home office visits, receptions, and representing Triad at trade shows, conferences, and seminars. 

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

  • Recruit registered representatives to join Triad by developing new leads obtained through multiple sources and contacting prospective representatives to communicate the benefits, both tangible and intangible, of affiliating with Triad. 
  • Conduct cold calls to prospects and utilize consultative sales skills to recruit business. 
  • Qualify prospects based upon needs analysis questionnaire and scheduling initial appointments. 
  • Prepare and deliver formal business presentations to qualified prospective representatives highlighting Triad's platform, products, technology, and service. Answer questions and utilize sales techniques to recruit business. 
  • Coordinate and host networking dinners and receptions for prospective representatives. 
  • Develop relationships with product sponsors, wholesalers, and other business contacts as a source of new lead generation. 
  • Provide prospective representatives with continued, on-going contact through personal phone calls, visits, and written communications. 
  • Establish individual recruitment goals in conjunction with branch office development. Determine appropriate strategies and sales plans to ensure attainment of goals. 
  • Prepare activity and pipeline reports for branch office development and participate in scheduled staff meetings. 
  • Represent Triad at various trade shows, conferences, and seminars. 
  • Maintain current knowledge of industry trends and developments. 

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, skills, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 

Knowledge Skills and Abilities:

  • Ability to travel up to 25% of the time
  • Ability to work a flexible schedule (may require evenings and weekends)
  • Knowledge of investment services, products, practices, and general market trends
  • Must be highly-organized with ability to prioritize and follow up with prospective Triad reps in a timely manner
  • Ability to set and meet business goals
  • Ability to persuasively present the benefits of Triad Advisors and to convert a lead into a rep
  • Strong knowledge of FINRA, SEC, and state rules and regulations 
  • Excellent verbal and written communication skills
  • Skill in networking with existing and prospective Triad reps and product wholesalers
  • Skill in negotiation and the use of consultative sales techniques
  • Possess excellent organizational skills with the flexibility to readily adapt to change
  • Working knowledge of Microsoft Word, Excel, Outlook and other web-based applications

Additional Details

Education: Bachelor's degree in Business, Finance, Marketing or related discipline preferred. 

Experience: Five years of sales and/or marketing experience in the securities industry. 

Certifications, Licenses and Registrations: FINRA Series 7 and 65/66 preferred 

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 Environment: The 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 Policy: It is the policy of the company no 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 this 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.

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