Number of Applicants
:000+
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 seeking a proven compliance professional to serve as Head of Supervision enterprise wide across Atria. The VP, Head of Supervision is responsible for the Department of Supervision. This functional department is responsible for all aspects of supervision for the firm, including review of personal production of all OSJs, Sales Managers and any home office reporting representatives, business review procedures for all branch offices, representative discipline, email and correspondence review, assisting with investigations, audit tracking and responses, cash/non-cash compensation review, cursory advertising review, and OSJ training and education. Successful candidate will have expertise with change management to support Atria’s planned future growth.
Location: may be Hybrid out of one of the home office locations or fully remote for the right candidate.
The anticipated annual base salary range for this position is $95,000 to $115,000. Exact compensation may vary based on skills, experience, and location.
Duties and Responsibilities – What you will do
Requirements – What we are seeking
++Must Haves+++
++Nice to Haves++
Why work at Atria?
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
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
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