Unfortunately, this job posting is expired.
Don't worry, we can still help! Below, please find related information to help you with your job search.
Don't worry, we can still help! Below, please find related information to help you with your job search.
Related keywords
Some similar recruitments
Principal Manufacturing Engineer Jobs
Recruited by ecocareers 8 months ago
Address Santa Clara, CA, United States
Investment Principal Jobs
Recruited by Perot Jain 8 months ago
Address San Francisco, CA, United States
12 - Principal, Design Engineering
Recruited by Celestica 8 months ago
Address , Santa Clara
Principal Of Security Operations
Recruited by Business Wire 8 months ago
Address San Francisco, CA, United States
Contaminated Strategy Jobs
Recruited by Madagoni LLC 9 months ago
Address San Francisco, CA, United States
Principal Jobs
Recruited by Napa Valley Unified School District 9 months ago
Address , Napa, Ca
$125,940 - $162,155 a year
Principal, Talent Operations Jobs
Recruited by HUMAN CAPITAL 9 months ago
Address San Francisco, CA, United States
Distributed Generation - Principal Project Engineer (Ca)
Recruited by NextEra Energy Resources 9 months ago
Address San Francisco, CA, United States
Principal - Strategy And Operations
Recruited by Intuit 9 months ago
Address Mountain View, CA, United States
Principal Engineer (Rails) - Remote
Recruited by PayNearMe 9 months ago
Address Santa Clara, CA, United States
Asssociate, Strategy Jobs
Recruited by MKThink 9 months ago
Address San Francisco, CA, United States
Senior Principal Engineer Jobs
Recruited by Samsung Semiconductor US 10 months ago
Address San Diego, CA, United States
Principal R&D Engineer (Mechatronics), Laza Medical
Recruited by Shifamed 10 months ago
Address Campbell, CA, United States
Principal, Talent Jobs
Recruited by HUMAN CAPITAL 10 months ago
Address San Francisco, CA, United States
Staff / Principal Modem Platform Performance Engineer
Recruited by MediaTek 10 months ago
Address San Diego, CA, United States
Principal Devops Engineer Jobs
Recruited by TekStaff Solutions 10 months ago
Address El Segundo, CA, United States
Principal, Business Value & Strategy
Recruited by Anaplan 10 months ago
Address San Francisco, CA, United States
– Senior Or Principal Engineer
Recruited by Wallace Group 10 months ago
Address Salinas, CA, United States
Supervisory Principal - Complex Products
Recruited by Atria Wealth Solutions 10 months ago
Address San Diego Metropolitan Area, United States
Principal - Strategy And Business Operations Manager
Recruited by Intuit 10 months ago
Address San Diego, CA, United States
Assistant Principal Jobs
Recruited by El Dorado County Office Of Education 11 months ago
Address , El Dorado, 95623, Ca
$109,845 - $133,515 a year
Customer Identity & Authentication Principal Engineer
Recruited by Wells Fargo 1 year ago
Address San Francisco, CA, United States
Associate Principal Jobs
Recruited by EVERSANA 1 year ago
Address San Francisco, CA, United States
Principal Design Strategist Jobs
Recruited by Wells Fargo 1 year ago
Address Palo Alto, CA, United States
Principal Engineer, R&D
Recruited by Edwards Lifesciences 1 year ago
Address Irvine, CA, United States
Supervisory Principal / Home Office Principal
Company | Atria Wealth Solutions |
Address | San Diego, CA, United States |
Employment type | FULL_TIME |
Salary | |
Category | Financial Services |
Expires | 2023-05-31 |
Posted at | 1 year ago |
Are you ready to join one of the fastest growing broker-dealer networks in financial services? (Cerulli Associates, 2020) At Atria, we support independent financial professionals and financial institution investment programs so they, in turn, can provide exceptional service to their clients and develop meaningful relationships with them.
We are looking for a Home Office Registered Principal to join our organization. In this role, you will be 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.
This role may be full-time remote or work from one of our offices including:
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 Home Office Registered Principal to join our organization. In this role, you will be 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.
This role may be full-time remote or work from one of our offices including:
- Fully Remote, USA
- Houston, TX
- San Diego, CA
- Syracuse, NY
- 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 Sungard blotter transactions and various other supervisory principal activities.
- Maintains ongoing positive relationships with supervised persons, acts as a subject matter expert, guide and resource, providing education as needed.
- Have a thorough understanding of WSPs, Anti-Money Laundering Compliance & Supervisory Procedures and Code of Ethics and insure supervised persons adherence with requirements set forth under these programs.
- Must have an in-depth understanding of each supervised person’s practice, staff and their branch/OSJ.
- Identification individual or patterns of transaction or sales practice red flags and investigates, resolves, and documents findings and outcome.
- Weekly review of supervised persons activity logs, check deposits, client correspondence, etc.
- Act as a conduit of information between the home office and supervised persons to assist with problem solving.
- Strong oral and written communication skills with conflict management abilities.
- Ability to exercise sound and impartial judgement in addressing issues with supervised persons.
- Series 4 & 53 or Series 9/10 preferred or obtain within 180 days of employment.
- High school diploma or GED required, Associates and/or bachelor's degree desired.
- 3 years relevant supervision experience including a strong working knowledge of financial services industry, products & services and the financial planning process.
- Series 7, Series 24, and Series 65/66 are required.
In addition to a competitive salary, we provide a full benefits package that includes:
- Identity Theft
- Retirement 401(k) Savings Plan with matching
- Long-Term Care
- Virtual Mental WellCare
- Pet Insurance
- Flexible Spending Accounts
- Long-Term Disability Insurance
- Legal Plans
- Virtual Therapy
- Paid time off, Paid Holiday, Paid Birthday time off
- Telehealth
- Health Savings Account
- Critical Illness, Accident & Hospital Indemnity Coverage
- Short-Term Disability Insurance
- Health Advocacy
- Vision Insurance
- Medical & Prescription Drug Insurance
- Life Insurance
- Dental Insurance
- Employee Assistance Program
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.
-
Systems Analyst - Excel, Xml, Sql, Scripting
By CyberCoders At Salt Lake City, UT, United States 8 months ago
-
(Senior) Finance & Shared Services Manager
By Catholics For Choice At Washington, DC, United States 8 months ago
-
Paralegal - Probate Administration
By CyberCoders At Miami, FL, United States 8 months ago
-
Account Executive - Automotive Software
By ECW Search At United States 8 months ago
-
Construction Project Coordinator Jobs
By CyberCoders At River Falls, WI, United States 8 months ago