WIS is seeking a Sales Supervisor to join our growing enterprise! At WIS, we offer our employees the opportunity to grow personally and professionally, to contribute to the success of a dynamic organization, and to serve others in a manner that exceeds their expectations.
A Sales Supervisor maintains Western's compliance of firm and regulatory rules and policies as it pertains to all activities of Registered Representatives/Investment Advisor Representatives through the daily review of records. Listed below are your essential duties, including but not limited to, the following:
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Supervisory review of new accounts and trade activity through account forms and daily trade blotters
- Conduct field office training/inspection according to schedule assigned by Compliance Department
- Review direct business forms, including annuity, mutual fund, REIT, and DPP applications and disclosure forms
- Review incoming and outgoing correspondence, including electronic communication
- Review check and securities receipt and delivered blotters, provided by Representatives/Advisers
- Review advertisements
- Provide direct support to designated Representatives/Advisers, including compliance and operational issues
- Coordinate with accounting department on collection of outstanding representatives/advisers debit items, including profitability of representatives/advisors.
- Review and approve new account forms, including updates.
- Conduct surveillance reviews of accounts
Established in 1995, Western International Securities, Inc. is an independent broker-dealer that has helped over 400 financial advisors establish themselves as independents by delivering comprehensive securities and investment advisory services to their clients. Acquired by Atria in 2020, they bring turnkey solutions for helping advisors transition from the wirehouse world into building successful practices of their own. Headquartered in Pasadena, CA, they maintain a network of offices nationwide.
Atria Wealth Solutions, Inc. (Atria) is a wealth management solutions holding company focused on delivering a clear path to the future of financial advice for financial professionals, financial institutions and their clients. Headquartered in New York City, Atria’s broker-dealer subsidiaries empower financial institutions and independent financial professionals with a sophisticated set of tools, services and capabilities that drive growth. Atria’s broker-dealer subsidiaries include CUSO Financial Services, LP, Sorrento Pacific Financial, LLC, Cadaret Grant & Co., Inc., NEXT Financial Group, Inc. and Western International Securities, Inc. Atria’s subsidiaries together support nearly 2,500 financial professionals with more than $75 billion of assets under administration. For more information, please visit www.atriawealth.com.