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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.

Client Services Specialist

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 a Client Services Specialist to join our team located in Norcross, GA. The Client Services Specialist will report to the Advisor Solutions Group Manager. 

The Client Services Specialist will act as the primary point of contact for all operational questions/issues with affiliated advisors and their staff. As the advisors' operations liaison, the candidate will clarify appropriate paperwork, communicate standard procedures, and resolve operational issues. 

Responsibilities

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

  • Manage large amounts of inbound and outbound calls coupled with email notifications and requests from advisors and their support staff in a timely manner. 
  • Serve as primary liaison between advisors and back-office operations.
  • Support advisors by providing accurate, timely and efficient responses to inquiries. 
  • Analyze and resolve problems.
  • Provide operational guidance and product knowledge on all available Triad Advisors products and services. 
  • Work with our clearing firm, National Financial Services, as well as internal departments such as Marketing, Compliance, Trading, and Technology. 
  • Provide overflow support for NFS and direct business operational processing.
  • Other operational or technical tasks as needed. 

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

Skills and Experience Required

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 - Associates or Bachelor's degree required

Experience 

  • 3+ years experience in the financial services industry with emphasis on back office operations
  • Brokerage and direct business experience needed

Knowledge - Knowledge of National Financial Services, FBSI, Wealthscape and/or Salesforce preferred

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. 

Mathematical Skills - Ability to add, subtract, multiple and divide in all units of measure, using whole numbers, common fractions and decimals. Ability to compare 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 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
  • Excellent operational 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 work in a results-oriented environment and to meet deadlines and service standard metrics
Certifications, Licenses and Registrations - FINRA 99 required, Series 7 and 24 licenses a plus.


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 Environment - This 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 individual is qualified, with or without reasonable accommodations, to perform the essential functions of the job. The policy applies to all jobs at the Company. The Company will continue to take affirmative action to employ and advance in employment of 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.

Compliance Communications Manager

Job Description

Triad Advisors, Inc. is a national, independent broker-dealer and multi-custodial 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 Advisors has an exciting opportunity for a Compliance Communications Manager to join our team located in Norcross, GA. The Compliance Communications Manager will report to the Deputy CCO and will provide support to our advisors and manage the review and approval process for business communications. The ideal candidate will have experience with managing the review of product-related marketing and sales collateral, investment advisor communication, thought leadership content, fund commentaries and other print and electronic communications. 

Responsibilities

The Compliance Communications Manager will perform as an individual contributor by providing support the the branch offices while also acting as a functional leader in the department. The role will also assist Senior Compliance Management in strategic planning and will develop a sustainable service model for the Communications Review team that will support future business growth.

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

  • Provides initial review and Series 24 Principal approval on all applicable communications to ensure business and regulatory standards are met
  • Consults with Compliance personnel regarding the applicability of rules and regulatory requirements, internal guidelines, disclosure standards, and other risk related issues when reviewing and approving communications with the public, when necessary. 
  • Meets regularly with product and/or marketing teams to discuss trends, changes in guidance, and other issues. 
  • Informs the business unity of any changes in regulatory policies or rules relating to advertising and sales literature, and provides oversight in implementing those changes.
  • Acts as a liaison between document originators and Compliance staff to resolve any complex issues or questions. 
  • Develops and delivers timely and effective training for on-boarding new employees of the business unit and ongoing training related to communications with the public. 
  • Acts as a change agent by optimizing, implementing, and continuously evolving department communications review processes, policies and procedures.
  • Monitors department production of business communications; provides management reporting and escalates issues as needed. 
  • Manages and facilitates annual review of all product positioning and collateral to ensure alignment with fund offering documents and internal investment guidelines. 
  • Provides a high level of service to all business partners involved in the review and approval process.

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

Skills and Experience Required

Supervisory Requirements

  1. Has overall responsibility for the Compliance Communications team
  2. Carries out supervisory responsibilities in accordance with the company's policies and applicable laws
  3. Responsibilities include interviewing, hiring and training employees; planning, assigning and direction work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems
  4. Leads by example and serves as a role model for exceeding expectations of customers, and of fellow employees
  5. Meets with direct reports informally on a one-on-one basis to review priorities and maintain working knowledge of customer issues or activities uses cross-training methods to continually develop skills of staff members
  6. 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. 
  7. Empowers staff to make sound decisions, take initiative and develop business opportunities. 

Other Required Skills and Abilities

  • Working knowledge of FINRA and SEC advertising rules and regulations related to ETF and mutual fund communications, including FINRA Rule 2210 and SEC Rule 482 
  • Comprehensive knowledge of the asset management industry and investment products, especially regulatory requirements and the current regulatory environment
  • Service-oriented focus - ability to balance regulatory and policy standards with a business perspective
  • Demonstrates collaboration and the ability to communicate effectively with co-workers, clients and prospects
  • 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
  • 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 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's degree in Business or Finance or equivalent experience required

Experience

  • 5+ years in the financial services industry with experience producing and/or reviewing business communications. 
  • Experience managing a team of professionals in the finance or securities industry. 

Certifications, Licenses and Registrations: FINRA Series 7, Series 24 (or must be obtained within 3 months of hire)

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 counters 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 discrimiate 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 accomodations, to perform the essential functions of the job. This policy applies to all jobs at the company. The company will contiune to take affirmative action to employ and advance in employement 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.

Salesforce Administrator

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 60 representatives/advisors in 40 states servicing nearly $26 billion in client assets.

Triad Advisors has an exciting opportunity for a Salesforce Administrator to join our team located in Norcross, GA. The Salesforce Administrator will report to the Director of Technology and will be a critical part of an experienced team that supports both our home office and advisors.

Responsibilities

The Salesforce Administrator is responsible for maintaining Salesforce applications and data to support ongoing business activities and new initiatives; in addition to act as a liaison between the technology and business units in order to provide technical solutions to meet user needs. 

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

  • Manage sales cloud for two organizations
  • Implement and manage custom objects, workflows, notifications and packages
  • Work with business unit owners to design and implement metrics, reports and dashboards
  • Work with clients to prepare and migrate their data to Salesforce
  • Collaborate with the team to identify and implement improvements in data model, workflows and page design
  • Provide application users with technical support
  • Manage the prioritization and implementation of required changes

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, multiple 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 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:

  • Salesforce Admin certification (ADM-201 certification required, ADM-211 preferred) 
  • Capable in the use of Data Loader (or equivalent ETL tools) and in manipulating data to load to Salesforce
  • Understanding of relational databases and data integration tools
  • Working knowledge of Microsoft Word, Excel, Outlook and other web-based applications
  • Exceptional interpersonal and team-building skills
  • Excellent verbal and written customer service, telephone, troubleshooting, and communications skills
  • Excellent organizations skills with the flexibility to readily adapt to change
  • Detail-oriented, able to multi-task and implement projects consistent with established Company and customer objectives

Additional Details

  • Bachelors Degree or equivalent work experience required. 
  • 2+ years expereince managing Salesforce organizations, including all aspects of configuration
  • Experience in financial services preferred
  • Experience with SQL, data mapping, data transformation
  • Docusign or equivalent e-signature package
  • Familiarity with Eloqua or equivalent makreting automation packages

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 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.


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