Supervisory Principal - Complex Products

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 for the firms Complex Products Desk to join our organization. The Complex Products Supervisory Principal role is responsible conducting pre-reviews of Alternative Investment, Fixed Indexed Annuity & Variable Annuity transactions to determine if the product is suitable and, in the clients, Best Interest. This Complex Products Desk is a part of the firms centralized supervision department and works with the firms Registered Representative and OSJ mangers across the nation.
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
• 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

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:

• High capacity to develop and maintain relationships with existing and prospective advisors.
• Implement specific measurements and monitor business activities as necessary.
• Develop a solid understanding of companywide operations, technology platforms, and product offering.
• Create solid working relationships with other administrative staff.
• Provide complex product subject matter expertise to the firms Registered Representatives, OSJ Managers
• Pre-transaction reviews for suitability & Best Interest in Alternative Investments, Fixed Indexed Annuities, Variable Annuities
• Research and resolve calls received from Field Representatives, internal departments, and clearing houses related to escalated complaints involving case suitability
• Assist with data requests from Compliance, Legal, Surveillance, Supervision, Compliance
• Review, monitor and approve all processes for new account forms, new direct business applications, and exception reports.
• Troubleshoot reports and other system applications as needed.
• Work alongside key personnel in driving results through administrative, marketing and financial processes.
• Assist with back office operational and trading processes, new account review, block trading processing/allocations, data entry and analysis, house account service/maintenance, customer communication and other duties as assigned.

What you will bring:

• Ability to learn complex financial information, the company’s technology platforms & terminology at a fast pace; accurate with attention to details.
• Ability to organize, prioritize, and manage time with minimal supervision and guidance from management.
• 3+ years of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations.
• Should be able to develop effectual relationships and operate with senior executives.
• 3+ years of customer service or relationship management experience in a fast-paced environment.
• Bachelor’s degree or equivalent education and experience.
• Requires Series 7, 66/65, and either Series 24 or Series 9/10
• Ability to synthesize large amounts of information and communicate conclusions effectively.
• Advanced computer skills; Salesforce, MS Office Suite proficiency (Strong skills in Microsoft Excel, Word & Adobe Acrobat).
• 3 yrs. compliance or supervision experience, preferably in a supervisory/manager capacity
• Strong working knowledge of Alternative Investments, Fixed Indexed Annuities, Variable Annuities

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

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

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.