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Supervisory Principal
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$70,000 - $85,000 a year
Full-time
- 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.
- Utilize your thorough understanding of WSPs, Anti-Money Laundering Compliance & Supervisory Procedures and Code of Ethics to insure supervised persons adherence with requirements set forth under these programs
- 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 clearing house blotter transactions and various other supervisory principal activities
- Assist the CCO and VP of Compliance in gathering information, documents, etc and preparing responses to customer complaints.
- Requires Series 7, 66/65, and either Series 24 or Series 9/10
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