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 House Accounts Representative. The House Accounts Representative’s (“HAR”) primary function is to serve in a General Securities Representative and Investment Adviser Representative capacity, for customer accounts remaining at the company after a field representative leaves the firm.

This position can be performed at any of the following locations:

• Syracuse, NY
• San Diego, CA
• Houston, TX

Duties and Responsibilities:

• Part of the Operations Department, and reports to a Home Office Principal for supervision and review.
• Assist with the tracking, management, reassignment, and closure of accounts currently listed as House accounts as well as accounts abandoned by representatives who have terminated.
• Ensuring that all required mailings are sent to the customers listed as either House accounts or accounts of Representatives who have left.
• Receive and provide assistance to customers with ongoing account service requests.
• Expedite unsolicited requests from customer for account transactions (purchase and sell orders), distributions and fund exchanges. This may require meetings with customers.
• Maintain required books and records as stated in the Firm’s Operations and Compliance manuals pertaining to field/branch office representatives.
• Offer securities and advisory services on a solicited basis to both current customers (as House accounts) and new customer accounts generated by the HAR.
• Comply with annual audit inspections and FINRA, SEC, and state regulatory requests.
• Provide additional assistance to Firm Operations and Compliance Departments, both for general and specific projects and requests, on an as needed basis.

Requirements:

• Bachelor's degree or equivalent experience.
• Series 7, 63/65 or 66
• Life and Insurance (Texas and other states as required)
• Detail oriented with excellent verbal and written communication skills
• Adept 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 insurance
• Dental insurance
• Prescription drug benefits
• Vision insurance
• Retirement savings 401(k) plan with matching
• Paid time off
• Paid holidays
• Critical illness insurance
• Veterinary pet insurance
• Employee assistance program
• Life insurance
• Short & long-term disability insurance
• Legal plan

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.

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