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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.

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, 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 Compliance Examiner to join our team located in Norcross, GA. The Compliance Examiner will report to the AVP, Director of Compliance and will be responsible for conducting onsite compliance examinations 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.

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.

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

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 communication skills.
  • Possess excellent organizational skills with the flexibility to readily adapt to change.

Must be detailed oriented, able to multi-task and have the ability to implement projects consistently.


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

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.

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.

AVP, Technology Solutions Consultant

Job Description

Triad Hybrid Solutions LLC, is a national, multi-custodial SEC-Registered Investment Advisor (RIA) serving independent financial advisors. Partnering with sister company Triad Advisors, LLC, an independent broker-dealer, we are pioneers and leaders in the Hybrid RIA marketplace. We provide compliance, technology, and operations infrastructure while offering industry insights and consultative guidance. Triad Hybrid Solutions is one of the fastest growing and innovative “aggregators” in the marketplace.

Triad Hybrid Solutions has an exciting opportunity for a AVP, Technology Solutions to join our team located in Norcross, GA. The Technology Solutions Consultant will report to the Chief Operating Officer and will act as the primary point of contact to advisors and staff for all questions/issues related to the firm’s FinTech offering to advisors. The candidate will manage the development and support of the systems, ensure continual enhancements, and consult with advisors on maximizing the suite as well as on evaluation of third party fintech.

Responsibilities

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

  • Collaborate with CEO and COO on technology offering, enhancements and support model
  • Administration and daily support of Blackdiamond and Salesforce
  • Support advisors directly via email, phone, webinar, and in-person meetings
  • Demonstrate technology bundle with prospective advisors
  • Research alternates to technology bundle offering with the goal of providing efficient and effective solutions
  • Ensure consistent processes and documentation
  • Create content for webinars, conferences, training, and white papers


Other Primary Contacts

This position will have extensive interaction with advisers and cross-functional teams within Triad Advisors and Triad Hybrid Solutions as well as strategic technology vendors.

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.


Experience with tools/systems for some or all:

  •  Aggregation/Performance Reporting
  •  CRM including workflows, dashboards and apps
  •  Modeling/Trading/Rebalancing
  • Financial Planning
  • Book Analysis
  • Client Portal
  • Mobile Applications

Knowledge/Expertise in

  • Microsoft Office (Word, Excel, PowerPoint, Outlook, Access)
  • System integrations (single sign on, 1 directional and bi-directional)

Other Desired Skills and Abilities

  • Ability to multi-task in fast-paced environment
  • Collaborative
  • Initiative
  • Strong Communication Skills
  • Desire to grow/learn

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, 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 Client Services Specialist to join our team located in Norcross, GA. The Client Services Specialist will report to the Advisory 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 advisor and their support staff in a timely manner.
  • Primary liaison between advisors and back office operations.
  • Support advisors by providing accurate, timely and efficient responses to inquiries.
  • Problem analysis and resolution.
  • 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 Primary Contacts

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

Skills and Experience Required

Education

Bachelor’s degree preferred

Experience

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

Certifications, Licenses and Registrations

  • FINRA 7 and 24 licenses required or the ability to obtain within 6 months of hire.

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

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

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.

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.

Relationship & Product Specialist

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 serving more than $26 billion in client assets. 

Triad Advisors has an exciting opportunity for a Relationship & Product Specialist to join our team located in Norcross, GA. The Relationship & Product Specialist will report to the VP of Relationship Management and will support the Wealth Platform Department with conducting investment product analysis and will serve as a knowledgeable resource for Triad’s affiliated advisors.

Responsibilities

Essential Functions include the following.

  • Educates and informs all advisors on upcoming Trainings/Events (Triad and Partner Events).
  • Acts as the product subject matter expert, taking incoming calls from advisors and contacting advisors with product suggestions and updates.
  • Tracks advisor and partner activities using Salesforce.
  • Assists with generating sales reports (T3 Report, Top Selling Sponsors, Trend Report)
  • Coordinates collection of ad hoc reporting from various departments to parent company.
  • Assist in small event planning (partner appreciation, regional).
  • Support partners in Marketing Deliverables.
  • Assist in setting up training with partner firms.
  • Creates and maintains records for Ladenburg Advantage Activities (referrals to and from affiliates).
  • Assists with setting up trainings for home office with Ladenburg Affiliates
  • Assist affiliates with maintenance of current marketing materials and placement on Triad webpage.
  • Works with direct business group (Licensing, Home Office OSJ, Operations) to ensure questions are answered, cases are progressing, and problems are resolved.
  • Assist commissions department with inquires.
  • Stays current on new products and product changes.
  • Maintains approved product database -internal, ESP, NBS.
  • Keeps advisor training calendar up to date.
  • Assists with internal audits.
  • Advisor RM duties (ambassador, gifts for advisors, metrics on top advisors, Salesforce reporting on advisor activity).
  • 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

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, Finance, Marketing or related discipline preferred

Experience

  • 1-3+ years industry experience required
  •  Series 6 or 7 license (or the ability to attain with 6 months)

Knowledge Skills and Abilities

  • Ability to travel up to 20% of the time.
  • 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;
  • Strong knowledge of FINRA SEC, and state rules and regulations.
  • Working knowledge of Microsoft Word, Excel, Salesforce, Power point, Outlook and other Web-based applications.
  • Excellent verbal and written customer service, telephone, troubleshooting and communication skills.
  • Strong ability to problem solve and find answers to difficult questions.
  • Possess excellent organizational skills with the flexibility to readily adapt to change.

Certifications, Licenses and Registrations

FINRA Series 7 required or ability to attain within 90 days of hire.

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