Supervisory Principal
Supervisory Principal
Atria Wealth Solutions
United States
See who Atria Wealth Solutions has hired for this role
Atria Wealth Solutions, Inc. (Atria) is a wealth management solution 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 and investment adviser 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.
We are looking for a Supervisory Principal / Home Office Principal to join our organization. The Supervisory Principal or HOP is 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.
We offer a rewarding career path and potential for advancement as well as good benefits. Our collaborative culture offers community through shared goals and strong work ethics.
Location: This position may be done HYBRID out of one the following home office locations:
What you will do:
++Must haves++
In addition to a competitive salary, we provide a full benefits package that includes:
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 over $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.
We are looking for a Supervisory Principal / Home Office Principal to join our organization. The Supervisory Principal or HOP is 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.
We offer a rewarding career path and potential for advancement as well as good benefits. Our collaborative culture offers community through shared goals and strong work ethics.
Location: This position may be done HYBRID out of one the following home office locations:
- Houston, TX: 11740 Katy Freeway, Energy Tower III Ste 600, 77079
- San Diego, CA: 10150 Meanley Drive, San Diego 92131
- Syracuse, NY: 100 Madison Street, 13202
- Remote – USA for the right candidate
What you will do:
- Act as a conduit of information between the home office and supervised persons to assist with problem solving.
- Maintain ongoing positive relationships with supervised persons, acts as a subject matter expert, guide and resource, providing education as needed.
- Utilize your thorough understanding of WSPs, Anti-Money Laundering Compliance & Supervisory Procedures and Code of Ethics to 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 clearing house blotter transactions and various other supervisory principal activities.
- Maintain an in-depth understanding of each supervised person’s practice, staff and their branch/OSJ
- Weekly review of supervised persons activity logs, check deposits, client correspondence, etc.
- Identification of individual or patterns of transaction or sales practice red flags and investigates, resolves, and documents findings and outcome.
- Assist in drafting new policies and procedures.
- Assist in implementing new policies and procedures.
- Assist the CCO and VP of Compliance in gathering information, documents, etc and preparing responses to customer complaints.
++Must haves++
- Bachelor’s degree or equivalent education and experience.
- Requires Series 7, 66/65, and either Series 24 or Series 9/10
- 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; CRM environment, MS Office Suite proficiency
- Ability to organize, prioritize, and manage time with minimal supervision and guidance from management.
- 3 yrs. compliance or supervision experience, preferably in a supervisory/manager capacity
- Experience with Salesforce based CRM (Kimberlite)
- Strong skills in Microsoft Excel, Word & Adobe Acrobat.
- Working hours in Pacific Time Zone
In addition to a competitive salary, we provide a full benefits package that includes:
- Medical & Prescription Drug Insurance
- Health Advocacy
- Telehealth
- Dental Insurance
- Vision Insurance
- Health Savings Account
- Flexible Spending Accounts
- Short-Term Disability Insurance
- Long-Term Disability Insurance
- Life Insurance
- Paid time off, Paid Holiday, Paid Birthday
- Critical Illness, Accident & Hospital Indemnity Coverage
- Identity Theft
- Employee Assistance Program
- Pet Insurance
- Legal Plans
- Virtual Therapy
- Virtual Mental WellCare
- Long-Term Care
- Retirement 401(k) Savings Plan with matching
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 over $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.
-
Seniority level
Mid-Senior level -
Employment type
Full-time -
Job function
Education and Training -
Industries
Financial Services
Referrals increase your chances of interviewing at Atria Wealth Solutions by 2x
See who you knowGet notified about new Principal jobs in United States.
Sign in to create job alertSimilar jobs
People also viewed
-
Principal, Originations (RTL)
Principal, Originations (RTL)
-
Vice President, Employee and Leadership Development
Vice President, Employee and Leadership Development
-
Sr. Principal, Data Strategy
Sr. Principal, Data Strategy
-
Vice President, Controller
Vice President, Controller
-
Vice President, Procurement
Vice President, Procurement
-
Expression of Interest - Head of People and Culture
Expression of Interest - Head of People and Culture
-
Head of Global Outsourcing
Head of Global Outsourcing
-
Head of Business Development
Head of Business Development
-
Director Head of Enterprise Architecture
Director Head of Enterprise Architecture
-
Vice President of Finance & Accounting
Vice President of Finance & Accounting
Looking for a job?
Visit the Career Advice Hub to see tips on interviewing and resume writing.
View Career Advice Hub