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Title

Supervisory Principal 

Division SCF Securities, Inc.  
Position Supervisory Principal  
Location Fresno, CA  
Full-Time/Part-Time Full-Time  
Description

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 Supervisory Principal to join our organization. In this role, you will be responsible for ensuring that all business, compliance, and regulatory requirements are met as it pertains to all activities of Registered Representatives / Investment Advisor Representatives.

In this position, you can work from the following home office location:

  • SCF Securities - Fresno, CA

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:

  • Inspect all new business cases for compliance with internal, FINRA, and SEC suitability and replacement guidelines.
  • Review and approve new account applications from broker dealer/investment advisory distribution channels to ensure all business, compliance, and regulatory requirements are met.
  • Assist with the administration of the compliance program for the firm, as needed.
  • Research and resolve calls received from Field Representatives, internal departments, and clearing houses related to escalated complaints involving case suitability
  • Implement specific measurements and monitor business activities as necessary.
  • Create solid working relationships with other administrative staff.
  • High capacity to develop and maintain relationships with existing and prospective advisors.
  • Troubleshoot reports and other system applications as needed.
  • Work alongside key personnel in driving results through administrative, marketing and financial processes.
  • Develop a solid understanding of companywide operations, technology platforms, and product offering.
  • Assist with back office operational and trading processes, new account review, block trading processing/allocations, data entry and analysis, house account service/maintenance, customer communication and other duties as assigned.
  • Review, monitor and approve all processes for new account forms, new direct business applications, and exception reports.
 
Position Requirements

Qualifications and Skills:

  • Bachelor’s degree or equivalent education and experience.
  • FINRA Series 7, 24 licenses required.
  • Preferred FINRA licenses to acquire within 12-months of being hired: S52, S53, S4, S65/S66.
  • 3+ years of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations.
  • 3+ years of customer service or relationship management experience in a fast-paced environment.
  • Should be able to develop effectual relationships and operate with senior executives.
  • Ability to learn complex financial information, the company’s technology platforms & terminology at a fast pace; accurate with attention to details.
  • Ability to synthesize large amounts of information and communicate conclusions effectively.
  • Advanced computer skills; Salesforce, MS Office Suite proficiency (Strong skills in Microsoft Excel, Word & Adobe Acrobat).
  • Ability to independently organize, prioritize, and manage time with minimal supervision and guidance from management.

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.

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

     

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