Supervision (Osj) Analyst / Finra

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 Supervision Analyst to join our growing and successful organization. The Supervision Analyst is responsible for supporting Home Office Principal, Supervision (HOP) functions as required by Atria, FINRA, SEC and state securities regulations.
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:

• Remote – USA for the right candidate
• Syracuse, NY: 100 Madison Street, 13202
• Houston, TX: 11740 Katy Freeway, Energy Tower III Ste 600, 77079
• San Diego, CA: 10150 Meanley Drive, San Diego 92131

The anticipated annual base salary range for this position is $60,000 to $75,000. Exact compensation may vary based on skills, experience, and location.
What you will do:

• May be asked to travel to conduct onsite audit and/or training visits to representatives and branches as determined by Management.
• Maintain a working knowledge of reporting capabilities within Unio/dataVISION and other software to utilize in the monitoring and detection of potential issues
• Provide support for departmental calls from representatives
• May be assigned to supervise the activity of assigned representatives around the country that do not have an on-site Principal as determined by Management.
• Initiate first contact with new programs and Registered Representatives
• Perform principal review of transaction information
• Process changes to Rep of Record on brokerage and direct business when needed
• Build working relationships with HOP to assist in the supervision of Registered Representatives
• Perform quality control on rejected items and facilitate communication between representatives and HOP
• Perform principal review of email communication
• Monitor and report on Branch Inspection and Representative Audit status including the creation of and follow up on exit letters and responses
• Run and analyze reports on behalf of department management
• Perform principal review of account disclosure documentation
• Seek process enhancements where available

What you bring:
+Must Haves+

• Bachelor's degree (B. A.) from four-year college or university; or 2 years of equivalent combination of education and experience.
• Series 24 license is required for this position; however, the employee will be allowed to obtain Series 24 within 90 days of hire
• Knowledge of suitability and compliance experience would be a plus
• 2+ years of financial services experience
• Must be a strong team member
• Detail oriented with excellent verbal and written communication skills
• Series 7 license
• Strong computer skills including Microsoft Office (Excel, Word, Outlook)
• Excellent analytical skills with a strong knowledge of product and business models within the retail securities industry

+Preferred+

• Series 63 or 66 license
• Experience with administration of Series 7 representatives and their production; retail supervision would be a plus.

Why work at Atria?
In addition to a competitive salary, we provide a full benefits package that includes:

• Telehealth
• Dental Insurance
• Life Insurance
• Identity Theft
• Employee Assistance Program
• Health Savings Account
• Retirement 401(k) Savings Plan with matching
• Virtual Mental WellCare
• Legal Plans
• Flexible Spending Accounts
• Virtual Therapy
• Medical & Prescription Drug Insurance
• Critical Illness, Accident & Hospital Indemnity Coverage
• Health Advocacy
• Pet Insurance
• Short-Term Disability Insurance
• Long-Term Care
• Long-Term Disability Insurance
• Paid time off, Paid Holiday, Paid Birthday
• Vision Insurance

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.