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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.

Compliance Examiner

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 in 40 states servicing more than $26 billion in client assets. 

Triad Advisors has an exciting opportunity for a Compliance Examiner to join our team located in Norcross, GA. The Compliance Examiner will report to the Director of Compliance and will be responsible for conducting onsite compliance examinsations of producing branch offices. Also, conducts periodic oversight reviews, makes independent determinations, takes appropriate remedial actions, and escalates issues, when appropriate. 

Responsibilities

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

  • Coordinates scheduling of assigned examinations. 
  • Performs collection and validation of data in compliance with examination program requirements. 
  • Analyzes collected data to identify irregularities. 
  • Conducts more complex onsite examinations to evaluate compliance with written policies and procedures.
  • Alerts appropriate parties of identified issues, escalates items as appropriate. 
  • Drafts and distributes examination-related communications to internal customers, external customers, and management.
  • Adheres and recommends enhancements to generally accepted organizational examination workflows. 
  • Manages examination related travel expenses. 
  • Provides for maintenance of proper books and records relating to areas of assigned responsibilities. 
  • Reviews exception and other internal reports in compliance with written policies and procedures. 
  • Participates in addressing sensitive compliance issues with management in assigned functional areas. 
  • Recommends process improvements to enhance the effectiveness and efficiency of firm processes. 
  • Performs other duties and responsibilities as assigned. 

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.

Language Skills: Ability 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 senior management, public groups and/or boards of directors.

Mathematical Skills: Ability 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 Ability: Ability 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: 

  • Ability to travel to branch offices located around the country. 
  • Ability to explain policies and regulations to others. 
  • Ability to work in a fast-paced/high-volume environment and be flexible with work schedule. 
  • Working knowledge of Microsoft Word, PowerPoint, Excel, Access, Outlook and other web-based applications. 
  • Very strong analytical ability, identifying potential areas of concern and project planning skills. 
  • Excellent verbal and written customer service, telephone and communications skills. 
  • Excellent organizational skills with the flexibility to readily adapt to change. 
  • Must be detail-oriented, able to multi-task and have the ability to implement projects consistently.

Additional Details

Education: Bachelor's degree in Business, Accounting, Finance, or related field required. 

Experience: 5+ years relevant experience in compliance or audit in the financial securities industry. 

Certifications, Licenses and Registrations: FINRA Series 7, 24, required or ability to obtain within 90 days of employment. 

Knowledge:

  • Knowledge of SEC, FINRA, and other regulatory rules.
  • Knowledge of investment concepts, practices, and procedures used in the securities industry.
  • Knowledge of concepts, practices and procedures of auditing brokerage and investment advisory firms.

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 90% of the time. 

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 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 indivdiual is qualified with or without reasonabl accomodations, 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 employe 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 charactersistics 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.

Compliance Operations Analyst

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 in 40 states servicing more than $26 billion in client assets.

Triad Advisors has an exciting opportunity for a Compliance Operations Analyst to join our team located in Norcross, GA. The Operations Analyst will report to the director of Compliance and will be responsible for providing support and assistance to the department by performing the initiaul review of activities performed by financial advisors and their staff. This is an entry-level position. The candidate will be given the opporunity to gain a base knowledge in supervision, surveillance, advertsing, and in understanding how the various departments within Triad interact with one another.

Responsibilities

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

  • Performs a variety of operational procedures within the department, which may include: system reconciliation, data analysis, and general supervision/surveillance. 
  • Answers calls and questions regarding policies and procedures, systems, and operational processes. 
  • Researches and provides resolution on advanced and more complex business issues. 
  • Serves as a back-up in cross-functional responsibilities during absences. 
  • Assists in special projects. 
  • Maintains a variety of data files and records. 
  • Performs other duties as assigned. 

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

Language Skills: Ability 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 Skills: Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rate, ration, and percent and to draw and interpret bar graphs. 

Reasoning Ability: Ability 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: 

  • Ability to work in a fast-paced/high-volume environment and be flexible with work schedule. 
  • Working knowledge of Microsoft Word, PowerPoint, Excel, Access, Outlook, and other web-based applications such as Salesforce CRM and other CRM systems. 
  • Very strong analytical ability, identifying potential areas of concern and project planning skills. 
  • Possess excellent organizational skills with the flexibility to readily adapt to change. 
  • Must be detail-oriented, able to multi-task and have the ability to implement projects consistently.

Additional Details

Education: Bachelors Degree in Business, Accounting, Finance, or related field desired. 

Experience: Some industry experience preferred. 

Knowledge: Knowledge of FINRA, SEC, and State rules 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 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 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.

Project 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 stats servicing more than $26 billion in client assets.

Triad Advisors has an exciting opportunity for a Project Manager to join our team located in Norcross, GA. The Project Manager will report to the Chief Operating Officer and will manage internal and external projects by maintaining the progress, mutual interaction, and tasks of project participants to reduce risk, maximize benefits, and minimize cost. 

Responsibilities

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

  • Assists in and supports the defining of project scope for all new or existing projects as assigned. Identifies business needs of the project, goals to be achieved, and expected deliverables. Supports the project plan from the development phase through closeout of the project.
  • Prepares written documentation, including project timelines and budget requests, to support the business case for project needs. Develops and delivers progress reports and proposals. 
  • Acts as a liaison between the project team, management and other stakeholders or third-party vendors to communicate information necessary to complete project tasks. 
  • Leads requirements analysis, validation and verification, ensuring that requirement statements are complete, consistent, concise, comprehensible, traceable, feasible, unambiguous, and verifiable. 
  • Elicits requirements using interviews, document analysis, surveys, business process descriptions, use cases, scenarios, business analysis, competitive product analysis, task and workflow analysis, and/or requirements workshops. 
  • Effectively communicates project progress with team members and tracks the current status while managing change requests throughout project implementation. 
  • Facilitates meetings as needed to assist with resolving project issues, troubleshooting, and mitigating risks. 
  • Evaluates progress to make sound decisions and recommendations for continual improvement in the efficiency of the department and of services performed as related to the project's scope. 
  • Writes procedures and guides to assist in the education and training of Triad Advisors employees and/or clients as needed. 
  • Evaluates post-project success to ensure that results and outcomes satisfy the requirements and specifications of the project. 
  • Promotes and establishes strong, positive, and productive working relationships within the organization through commitment to the company's mission statement, core values, and business principles.
Other Primary Contacts: This position will have extensive interaction with customers and cross-functional teams within Triad Advisors.

Skills and Experience Required

Language Skills: Ability 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 Skills: Ability 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 Ability: Ability 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 Office, Word, Excel, Outlook, PowerPoint, Visio, SharePoint, and other web-based applications
  • Experience working with Salesforce is a plus but not required. 
  • Exceptional interpersonal skills
  • Excellent verbal and written customer service, telephone, troubleshooting, and communication skills
  • Strong customer service skills required
  • Excellent organizational skills with the flexibility to readily adapt to change
  • Must be detail-oriented, able to multi-task and have the ability to implement projects consistent with established Company and customer objectives

Additional Details

Qualifications: 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.

Education: Bachelor degree in Business Administration or related field required

Experience: 2+ years demonstrated experience effectively managing projects in a financial services environment. 3-5 years experience in the financial services industry a plus. 

Certifications, Licenses, and Registrations: PMP Certification required. FINRA 99, 7/66, 65 or other industry license 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. This 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 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.

Regional OSJ 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 we are recognized as one of the most successful and fastest-growing independent broker/dealers 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 Regional Office of Supervisory Jurisdiction (OSJ) Manager to join our team located in Norcross, GA. The Regional OSJ Manager will report to the Director of Compliance and will provide offsite OSJ support services to a region of branch offices while also coordinating and managing the work process and deliverables of other home office OSJs. This role will be the senior advisor and subject matter expert within the OSJ.

Responsibilities

The Regional OSJ Manager will perform as an individual contributor by providing support to the branch offices within their assigned region while also acting as a functional leader in the department. 

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

  • Ensure adherence to company policy and securities regulations by reviewing various compliance exceptions and monitoring reports to include suitability reviews, mutual fund breakpoint and share class review, trend analysis, mark-up/mark-down, and annuity sales practice reviews.
  • Escalate concerns and findings and coordinate follow-up with the Brokerage Operations Manager, Compliance, and/or sales personnel, as appropriate.
  • Review transaction activity for compliance with Bank Secrecy Act & Anti-Money Laundering regulatory requirements. 
  • Interfere with sales management and registered representatives regarding sales practice reviews and supervisory issues. 
  • Monitor written and electronic communications by registered representatives and associated persons in the region to ensure compliance with Firm and Regulatory guidelines.
  • Review and principal approve specific/high level advertising, marketing, sales literature, contests, and other similar items ensuring adherence to Regulatory and Firm guidelines when requested by Compliance Communications Review.
  • Assume delegated responsibility for compliance and supervisory related projects including, but not limited to, annually investigate both sales practice and non-sales practice verbal and written customer complaints and/or Compliance investigations, with the assistance of various compliance departments, review of rep non-cash compensation logs, monitoring associated persons outside brokerage and outside business activity and annual questionnaires, and reviewing escalated exceptions.
  • Provide compliance and sales practice training to the field as needed. 
  • Assist in addressing and monitoring disciplinary actions and letters of probation as they pertain to policy and procedure violations and/or production issues. 
  • Facilitate advisor termination process including back office notification and systems termination. 
Supervisory Requirements
  • Has overall responsibility for the Office of Supervisory Jurisdiction team. 
  • Carries out supervisory responsibilities in accordance with the Company's policies and applicable laws. 
  • Responsibilities include 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 customers and cross-functional teams within Triad Advisors.

Skills and Experience Required

  • Collaboration and the ability to communicate effectively with co-workers, clients, and prospects.
  • A high level of knowledge with 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. 
  • Must have securities and insurance product knowledge and knowledge of securities and insurance rules and regulations, including FINRA, SEC, MSRB, and DOI.
  • Working knowledge of Microsoft Word, Excel, Outlook and other web-based applications. 
  • Experience working with Salesforce is a plus but not required. 
  • Exceptional interpersonal and team-building skills. 
  • Excellent verbal and written customer service, telephone, troubleshooting, and communication skills. 
  • Strong customer service skills required. 
  • Excellent organizational skills with the flexibility to readily adapt to change. 
  • Detail-oriented, able to multi-task and have the ability to implement projects consistent with established Company and customer objectives.
  • Ability to travel up to 10% of the time.

Additional Details

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. 

Education: Bachelor's degree preferred

Experience: 

  • 3+ years of broker/dealer regulatory and/or compliance experience specifically in surveillance and branch examinations
  • 5+ years of business experience
  • Experience managing a team of professionals in the finance or securities industry

Certifications, Licenses and Registrations: FINRA Series 7, Series 24, Series 63/33 and insurance licenses 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 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 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 no prohibited by law.

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

Regional OSJ Supervisor

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 in 40 states servicing more than $26 billion in client assets. 

Triad Advisors has an exciting opportunity for a Regional Office of Supervisory Jurisdiction (OSJ) Supervisor to join our team located in Norcross, GA. The Regional OSJ Supervisor will report to the Regional OSJ Manager and will provide offsite OSJ support services to a region of branch offices.

Responsibilities

The Regional OSJ Supervisor 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. Other duties may be assigned. 

  • 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. 
  • Service 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 Word, Excel, Outlook 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 communications skills. 
  • Excellent organizational skills with the flexibility to readily adapt to change.

Additional Details

Education: Bachelors 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 63/65 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 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 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 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.