Branch Supervision Manager

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 an Associate, Branch Supervision / Branch Supervision Manager. This role Manages day to day operations of Branch Supervision Department. OSJ Branch Supervisors are responsible for assuring that all registered representatives and advisors under their supervision are in compliance with all federal, state, FINRA and SEC rules and regulations, as well as all CUSO Financial policies and procedures.This position can be performed at any of the following locations:Syracuse, NYSan Diego, CAHouston, TXFully Remote, USA for the right candidateDuties and Responsibilities:OSJ Branch Supervision:Principal review of new account applications and compliance required forms Trade Blotter Review and Approval Email Review and Approval Books & Records Review and Retention Outside Business Activity Review and Approval Train representatives, assistants, and program managers in CFS procedures Maintains and builds a working relationship with representatives to develop their skills in promoting increased business opportunities. Conduct onsite branch inspections and rep auditsManagement and Supervision:Day to day supervision of OSJ Branch SupervisorsDepartment coverage, Paid Time Off (PTO) requests, timecard approvalsOSJ transaction escalation/rep issuesManage workflow processes (pre-approval queues for regulatory compliance, HOS queues, blotter, email, etc.)Analyze department reports:BTR reportBranch Inspection trackingAnnual Rep Audit trackingNext Step OSJ, HOSQC Audit reportsFacilitate by-weekly department meetingsOther duties and special projects as assignedSets and keeps consistent office hours at the CFS back officeSupports Company Mission and Corporate ValuesRequirements:Bachelor's degree (B. A.) from four-year college or university preferred.5+ years’ experience supervising the production of Series 7 representatives, and personal retail production.Thorough knowledge of suitability and other compliance issues involved in retail activity: or equivalent combination of education and experience. Series 7, 63, 24, and 53 licenses are required for this position. Life and Insurance license preferred, but not required for this position.Detail oriented with excellent verbal and written communication skillsAdept at remaining flexible in an ever-changing environment.Ability to recognize when a problem or issue requires additional parties to be consulted and the ability to use proper discretion and judgment when dealing with internal and external difficulties. Quick problem solving and prioritizing is essential. Proficient computer skills including Microsoft Office (Excel, Word, Outlook and PowerPoint) are a must. Ability to read and interpret documents such as operations manuals and procedures manuals and instructions. Ability to write routine reports and correspondence. Why work at Atria?In addition to a competitive salary, we provide a full benefits package that includes:Medical insuranceDental insurancePrescription drug benefitsVision insuranceRetirement savings 401(k) plan with matchingPaid time offPaid holidaysCritical illness insuranceVeterinary pet insuranceEmployee assistance programLife insuranceShort & long-term disability insuranceLegal planAtria 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 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 timeIt’s time for the next step in your career. Apply now.SummaryLocation: Houston Hybrid or Fully Remote, TX, United StatesType: Full TimeExperience: Manager/SupervisorDepartment: Compliance