Head of Supervision
- $95,000 to $115,000 Yearly
- Vision , Medical , Dental , Paid Time Off , Life Insurance , Retirement
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 seeking a proven compliance professional to serve as Head of Supervision enterprise wide across Atria. The VP, Head of Supervision is responsible for the Department of Supervision. This functional department is responsible for all aspects of supervision for the firm, including review of personal production of all OSJs, Sales Managers and any home office reporting representatives, business review procedures for all branch offices, representative discipline, email and correspondence review, assisting with investigations, audit tracking and responses, cash/non-cash compensation review, cursory advertising review, and OSJ training and education. Successful candidate will have expertise with change management to support Atria’s planned future growth.
Location: may be Hybrid out of one of the home office locations or fully remote for the right candidate.
- Houston, TX
- San Diego, CA
- Syracuse, NY
- Remote - USA
The anticipated annual base salary range for this position is $95,000 to $115,000. Exact compensation may vary based on skills, experience, and location.
Duties and Responsibilities – What you will do
- Enforce all firm policies and assist with investigations and disciplinary determinations of all violations of firm policy.
- Supervise a remote/hybrid team that
- is responsible for representative discipline and the administration of the firm’s heightened supervision and financial monitoring programs.
- is responsible for providing principal review of the personal production of multiple decentralized branches, including pre-approval of certain products, trade review of trades including variable annuities, options and other securities, collection and approval of firm disclosure forms and new account forms.
- is responsible for reviewing representative communication using email review, correspondence review, and cursory advertising review.
- tracks and administers initial and annual OSJ training.
- Make informed decisions regarding escalated items and exception requests working closely with the Chief Compliance Officers enterprise wide.
- Answer all written and verbal inquiries from the field.
- Assist with providing information for any inquires the firm receives from regulators.
- Limited Travel to OSJs and regional meetings.
Requirements – What we are seeking
- Equivalent combination of education and experience; Bachelor's degree (B. A. / B.S.) from four-year college or university; or five to six years related experience and/or training.
- 7+ years of relevant securities experience in Compliance or Supervision.
- FINRA Series 7, 24, and 53 required.
- An understanding of variable annuities, limited partnerships, REITs, mutual funds, options, municipal bonds and all other securities products.
- Proved experience in change management, controls design, and strong people management skills.
- Strong verbal and written communication skills
- Strong organizational skills
- Ability to manage time effectively
++Nice to Haves++
- Hybrid option is preferred.
- Master’s degree preferred.
- Required to obtain FINRA Series 65/63 or 66 preferred or able to obtain within 90 days of start date.
Why work at Atria?
In addition to a competitive salary, we provide a full benefits package that includes:
- Medical & Prescription Drug Insurance
- Health Advocacy
- 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
At Atria, we consider Diversity, Inclusion, and Belonging to be essential to our success, and we are working to integrate it into the fabric of our organization. Our commitment to Diversity, Inclusion, and Belonging is key to our culture and values, and critical for great products, and satisfied customers.
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.
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Atria Wealth SolutionsSan Diego, CA
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