Supervisory Principal

Job Description

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:

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

The anticipated annual base salary range for this position is $70,000 to $85,000. Exact compensation may vary based on skills, experience, and location.

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.

What you will bring:

++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.

++Nice to have++

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

Why work at Atria?

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

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

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.

Powered by JazzHR

blWw2RC0LW