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Supervisory Principal

Company: Atria Wealth Solutions
Location: Pasadena
Posted on: January 15, 2022

Job 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 Sales Supervisor / Supervisory Principal to join our organization. In this role, you will be responsible for 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. This position is remote-eligible.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 accountsQualifications and Skills:
    • FINRA Series 7 and Series 24
    • Bachelor's degree
    • Supervision experience in the securities industry
    • The ability to review, interpret securities for issues relative to suitability and consistency with policies and procedures.
    • Ability to formulate a resolution appropriate to the facts and circumstances of each situation, in consultation with the Head of Supervision and/or Chief Compliance Officer.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 planAtria 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 over $100 billion of assets under administration. For more information, please visit 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 timeIt's time for the next step in your career. Apply now.988sqlVhbe

Keywords: Atria Wealth Solutions, Pasadena , Supervisory Principal, Other , Pasadena, California

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