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Vice President of Transitions 

Division CUSO Financial Services, L.P.  
Position Vice President of Transitions  
Location San Diego, CA  
Full-Time/Part-Time Full-Time  

Are you ready to join one of the fastest growing broker-dealer networks in financial services? (Cerulli Associates, 2020) At Atria, we support independent financial professionals and financial institution investment programs so they, in turn, can provide exceptional service to their clients and develop meaningful relationships with them.

We are looking for a Vice President of Transitions to join our organization. In this role, you will be responsible for planning, managing and directing the operation and development of the Transition Teams across the Atria Broker/Dealer network. You will work closely with the Recruiting Team to facilitate the transitioning of newly affiliated advisors to the broker/dealers of the Atria network. You will actively review and evaluate various aspects of the transition process to improve the transition experience while remaining cost effective and within regulatory guidelines.

In this position, you can work from any one of the following home office location(s):

  • Cadaret Grant: Syracuse, NY
  • CUSO Financial: San Diego, CA
  • NEXT Financial: Houston, TX

Our offices throughout the country are the most effective environment for us to support and partner with financial professionals. At the same time, the health and safety of our team is our highest priority. Our COVID-19 Task Force actively monitors and tracks the ongoing status in each of our office locations, ensuring consistency with CDC guidelines and providing a safe and healthy work environment for our team members.

Duties and Responsibilities:

  • Plan, manage, direct the operation and development of the Transition Team to existing, prospective and newly affiliated Representatives. This includes ensuring personal, professional, timely and accurate interactions with all Representatives, their office staff, Board Members, Recruiters, Business Management Consultants, and other Home Office personnel. Interactions will relate to acquisition, succession planning, recruiting, rep review, transition, and integration processes. Also includes staffing, scheduling, participation in Senior Management and Board meetings, budget reviews and expenditure approvals.
  • Evaluate and recommend procedure or technology improvement opportunities. Lead project related activities to streamline operational processes and increase the cost effectiveness of all related functions. Includes interfacing with internal and external system providers to ensure cost effective compliance with contract terms and service level delivery to the Team.
  • Stay abreast of any new transition, acquisition and succession processes or structures including any FINRA or SEC policies or regulations that could impact the Teams’ current processes, services, or resources. Ensure the Transition Team remains up-todate and ready to effectively present the related information.
  • Ensure all Representative and Team procedures/documents related to Practice Acquisition & Transition remain current staying within related FINRA and SEC policies, guidelines and/or regulations. Ensuring the Team members actively cross train on the Team procedures to minimize any service disruptions or delays for all Representatives and internal personnel.
  • Act as a departmental representative at National Education Conferences, Recruiting meetings, industry events and other public or private events involving the Transitions Department.
  • Perform managerial functions including, but not limited to, interviewing, hiring, promotions, merit increases, employee coaching/development, disciplinary actions, training, performance appraisal and termination of employees.
Position Requirements

Qualifications and Skills:

  • High School Diploma or equivalent
  • 8+ years of experience in broker dealer back office operations and field support.
  • 5+ years of experience in managerial capacity.
  • 5+ years of office experience using Microsoft applications (Excel, Word, Power Point, Access).
  • Strong verbal communication, diplomatic and interpersonal skills required.
  • Attention to detail and follow-up skills required.
  • Ability to prioritize and address multiple projects while consistent meeting or exceeding deadlines.
  • Current FINRA Series 7 & 24 required.
  • Bachelor’s degree preferred.
  • Experience managing employees in a remote and cross location environment preferred.
  • Additional FINRA Licenses preferred (Series 63, 66, etc.).

Why work at Atria?

In addition to a competitive salary, we provide a full benefits package that includes:

  • Medical insurance
  • Dental insurance
  • Prescription drug benefits
  • Vision insurance
  • Retirement savings 401(k) plan with matching
  • Paid time off
  • Paid holidays
  • Critical illness insurance
  • Veterinary pet insurance
  • Employee assistance program
  • Life insurance
  • Short & long-term disability insurance
  • Legal plan

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 deepen client relationships and maximize efficiencies in their practices.

Atria’s broker-dealer subsidiaries include CUSO Financial Services, L.P., Sorrento Pacific Financial, LLC, Cadaret Grant & Co., Inc., NEXT Financial Group, Inc., Western International Securities, Inc., and SCF Securities, Inc. Atria’s subsidiaries together support nearly 2,500 financial professionals and over 200 financial institutions with nearly $100 billion of assets under administration. For more information, please visit

Atria Wealth Solutions and its affiliated entities are equal opportunity employers that are committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws.

This policy applies to all employment practices within our organization, including hiring, recruiting, promotion, termination, layoff, recall, leave of absence, compensation, benefits, training, and apprenticeship. Atria Wealth Solutions and its affiliated entities make hiring decisions based solely on qualifications, merit, and business needs at the time.

It’s time for the next step in your career. Apply now.


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