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 an Office of Supervisory Jurisdiction (OSJ) Branch Supervisor to join our fun and successful organization. This role will be responsible for assuring that all registered representatives and advisors under their supervision are in compliance with all federal, state, FINRA and SEC rules and regulations, as well as all CUSO Financial policies and procedures.
In this position, you can work from any one of the following locations:
- CUSO Financial - San Diego, CA
- Cadaret Grant - Syracuse, NY
- 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 he 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:
- Principal review of new account applications and compliance required forms
- Trade Blotter Review and Approval
- Email Review and Approval
- Books & Records Review and Retention
- Outside Business Activity Review and Approval
- Train representatives, assistants, and program managers in CFS procedures
- Maintains and builds a working relationship with representatives to develop their skills in promoting increased business opportunities.
- Travels to conduct onsite audit and/or training visits to representatives and branches. Must meet with assigned programs 2-3 times each year. Up to 15% travel will be required.
- Participation or lead on special projects and committees to enhance the OSJ function and company standards
- Provide cross training to the OSJ staff, representatives and program managers
- Assist VP and Manager with process improvements
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.