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 Home Office Registered Principal to join our organization. In this role, you will be responsible providing first-line supervision to Office of Supervisory Jurisdiction (OSJ) Managers and Registered Representatives (Supervised Persons) assigned to your designated region. You will ensure that your assigned supervised persons adhere to Written Supervisory Procedures (WSPs), relevant securities rules and regulations and laws within your assigned region.
The individual in this role may be full-time remote or work from one of our home offices including:
- NEXT Financial Group in Houston, TX,
- CUSO Financial Services in San Diego, CA or
- Cadaret Grant in Syracuse, NY.
Duties and Responsibilities:
- Must have an in-depth understanding of each supervised person’s practice, staff and their branch/OSJ.
- Act as a conduit of information between the home office and supervised persons to assist with problem solving.
- Maintains ongoing positive relationships with supervised persons, acts as a subject matter expert, guide and resource, providing education as needed.
- Ability to exercise sound and impartial judgement in addressing issues with supervised persons.
- Strong oral and written communication skills with conflict management abilities.
- Have a thorough understanding of WSPs, Anti-Money Laundering Compliance & Supervisory Procedures and Code of Ethics and insure supervised persons adherence with requirements set forth under these programs.
- Day-to-day review and principal approval, or pre-approval, of new accounts, variable/equity and alternative investments, outside business activities, post transaction review of Sungard blotter transactions and various other supervisory principal activities.
- Weekly review of supervised persons activity logs, check deposits, client correspondence, etc.
- Identification individual or patterns of transaction or sales practice red flags and investigates, resolves and documents findings and outcome.
- Strong working knowledge of financial services industry, products & services and the financial planning process.
Qualifications and Skills:
- Series 7, Series 24 and Series 65/66 are required
- Series 4 & 53 or Series 9/10 preferred, or obtain within 180 days of employment
- 3 years relevant supervision experience including a strong working knowledge of financial services industry, products & services and the financial planning process.
- High school diploma or GED required, Associates and/or bachelor's degree desired.
- Excellent verbal and written communication skills
- Ability to exercise sound and impartial judgement in addressing issues with supervised persons
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 www.atriawealth.com.
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.