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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.

Home Office Principal II

Job Description

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

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

Responsibilities

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

Essential Functions Include the Following: 

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

Skills and Experience Required

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

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

Additional Details

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

Experience: 4+ years industry experience required.

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

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

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

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


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

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

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

Deputy Chief Compliance Officer

Job Description

Triad Advisors, LLC., is a national, independent broker-dealer and multi-custodial SEC- Registered Investment Advisor (RIA). We are pioneers and leaders in the Hybrid RIA marketplace. We provide a comprehensive platform of products, trading and technology systems, as well as customized wealth management solutions and are recognized as one of the most successful and fastest-growing independent broker-dealers in the industry.

Triad has more than 600 representatives/advisors in 40 states servicing more than $26 billion in client assets.

Triad Advisors has an exciting opportunity for Deputy Chief Compliance Officer to join our team located in Norcross, GA. The Deputy Chief Compliance Officer will report to the Chief Compliance Officer and will have the responsibility of managing the RIA compliance program, policies and procedures for the Firms; two RIA’s. 

Responsibilities

The ideal candidate will have significant and broad experience in a compliance role with a sizeable SEC-registered investment advisor and also have experience in the independent broker- dealer channel. The position also requires the successful candidate to have a consultative approach to support our advisor’s independent RIA entities.

Essential Functions Include the Following:

  • Maintain and manage a comprehensive compliance program for the RIAsthat meets all of the requirements of regulatory agencies.
  • Assess risks, conduct testing and assist in establishing controls to mitigate risks, on an ongoing basis and when new rules are issued by regulatory agencies.
  • Complete periodic reviews and audits of compliance program and policies.
  • Complete annual and other updates to Form ADV (as required) and annual distribution of ADV offer letter.
  • Maintain compliance manuals, written policies and written procedures.
  • Provide guidance for advertising and marketing materials to ensure compliance with appropriate regulations.
  • Maintenance of the Firm's Code of Ethics including monitoring of personal securities transactions and gifts and entertainment.
  • Respond to regulatory requests and play a leading role during regulatory examinations.
  • Respond to internal and external client and advisor requests.
  • Provide consultative services to independent RIAs affiliated with the Firm.
  • Integrate effectively with the firm’s operations, managementand marketing teams to bring a compliance voice into daily service activities.
  • Guide and manage RIA compliance staff.
  • Drafting content and periodic releases on compliance issues of interest to investment advisors.
  • Assist with the response to regulatory inquiries
  • Experience with any of the following systems is also desirable: SalesForce, Black Diamond, Sungard Protegent system (for trade and account activity review), Fidelity, TD & Schwab web interfaces.

Supervisory Requirements: 

  • Carries out supervisory responsibilities in accordance with the Company’s policies and applicable regulations.
  • Responsibilities include assistance with interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems. 
  • Leads by example and serves as a role model for exceeding expectations of customers, and 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 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 decesions, take initiative and develop business opportunities.

Skills and Experience Required

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

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

Additional Details

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

Experience: 

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

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

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

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

Equal 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.

Advisory Operations Specialist

Job Description

Triad Hybrid Solutions is an SEC-registered corporate RIA affiliated with industry leading broker-dealer Triad Advisors, Inc. We are enhancing our operations team through the addition of an Advisory Operations Specialist I. This person will act as the primary point of contact for all custodial questions/issues with affiliated advisors and their staff. As the advisors’ custodial liaison, the candidate will clarify appropriate paperwork, communicate standard procedures, and resolve operational issues. The candidate should have over 2 years’ experience in financial services. FINRA licensing, knowledge of trading terminology and tools, and experience with fee-based/advisory business is preferred. Familiarity with Charles Schwab, TD Ameritrade and Fidelity is a plus.

Responsibilities

Essential Functions Include the Following: 

  • Educate advisors on updates to processes.
  • Answer custodial paperwork and processing questions.
  • Communicate with custodial service team to ensure issues are resolved.
  • Monitor account alerts and communicate to advisors as needed.
  • Conduct (or coordinate with custodial service teams) training to ensure advisors are educated.
  • Create training materials and documentation of key tasks as needed.
  • Process internal workflows to ensure account establishment is complete and accurate.
  • Assist advisors and their staff in using the custodial trading tools. 
  • Process requests for custom performance reports. 
  • Deliver requests for monthly/quarterly batch reports. 
  • Run internal reports to identify trends and potential issues.
  • Other operational or technical tasks as needed.

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.

  • Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
  • Experience working with Salesforce and Black Diamond 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.
  • 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.

Additional Details

Education: Bachelor’s degree in finance or another relevant business area.

Experience: 2+ years’ experience in the financial services industry required. 

Certifications, Licenses and Registrations: FINRA 99,7/66, 65 or other industry license a plus.

Knowledge: Knowledge of trading terminology and tools. 

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 dataestablish 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.

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 creednational origin,age,sexual orientation, gender identityphysical 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 jobThis 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 creednational origin, age, sexual orientation, gender identity, physical or mental disability, and/or protected veteran statusor other protected characteristics in all employment practices.TheCompany is an Equal OpportunityEmployer. 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.

Advisory Services Associate

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

Responsibilities

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

Essential Functions Include the Following: 

Advisor Business Development

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

Consultation and Service Offering 

  • Offer daily support to financial advisors and their staff
    • Direct information searches to appropriate resources.
    • Work actively in problem resolution and escalation processes.
    • Assist with creation of resources to support trending issues/questions

    • Act as a liaison to internal colleagues
      • Coordinate with operations, technology, products, and compliance teams. 
        • Comprehensive issue resolution.
        • Training and education.
        • Ensure accuracy of resources such as sales materials and intranet content.
        • Messaging related to new processes, solutions, and tools.
        • Organize internal education efforts.

    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.

    • 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.

    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.

    Additional Details

    Education: Bachelor Degree in Business, Finance or related field required.

    Experience: 3+ years experience in the financial services industry required.

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

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

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

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

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

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