Job type full-time
Full job description
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 supervisory principal to join our organizationIn this role, you will be responsible for ensuring that all business, compliance, and regulatory requirements are met as it pertains to all activities of registered representatives / investment advisor representatives.
In this position, you can work from the following home office location:
Scf securities - fresno, ca
Our offices throughout the country are the most effective environment for us to support and partner with financial professionalsAt the same time, the health and safety of our team is our highest priorityOur covid-19 task force actively monitors and tracks the ongoing status in each of our office locations, ensuring consistency with cdc guidelines and providing a safe and healthy work environment for our team members.
Duties and responsibilities:
Inspect all new business cases for compliance with internal, finra, and sec suitability and replacement guidelines.
Review and approve new account applications from broker dealer/investment advisory distribution channels to ensure all business, compliance, and regulatory requirements are met.
Assist with the administration of the compliance program for the firm, as needed.
Research and resolve calls received from field representatives, internal departments, and clearing houses related to escalated complaints involving case suitability
Implement specific measurements and monitor business activities as necessary.
Create solid working relationships with other administrative staff.
High capacity to develop and maintain relationships with existing and prospective advisors.
Troubleshoot reports and other system applications as needed.
Work alongside key personnel in driving results through administrative, marketing and financial processes.
Develop a solid understanding of companywide operations, technology platforms, and product offering.
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.
Review, monitor and approve all processes for new account forms, new direct business applications, and exception reports.