CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC. are looking for a Registration Specialist to join our fun and successful organization. Our company culture fosters and encourages innovation and growth by promoting openness, flexibility, and an entrepreneurial spirit.
This position will perform Back office broker dealer securities registration and insurance appointment administration.
Position duties include but not limited to:
- Facilitates insurance license maintenance and appointments for associated persons and associated entities
- Maintains accurate registration & licensing related details within multiple regulatory systems
- Individual FINRA registration/Form U4 amendments/Form U4 validation
- Form BD branch filings/state-specific branch system maintenance
- State/Jurisdiction securities registration for individuals
- Opens securities exam window and registration of exam completions
- Process, track and accurately file Outside Business Activities of associated persons
- Tracking and reporting of monthly company-wide metrics of associated persons
- Monitors associated persons compliance with firm element and FINRA regulatory continuing education
- Processes Rep and associated persons termination filings
- Processes and compile identified pre-registration reports for associated persons
- Provides assistance to associated persons both for securities and insurance on a daily basis
- Requests, maintains and files associated persons account statements held at other firms
- Associate's degree (A. A.) or equivalent from two-year college or technical school preferred; or two years related business or financial institution experience preffered; or equivalent combination of education and experience. FINRA registration and insurance appointment administration preferred.
- Have basic Excel knowledge & Microsoft Outlook.
- Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations. Ability to write reports, business correspondence and procedure manuals. Ability to effectively present information and respond to questions from groups of managers, clients, customers and the general public.
CUSO recognized as one of the Best Places to Work in San Diego and one of San Diego’s Healthiest Companies. As a result, we have many long-term employees who know our processes and efficiency goals so you will get to work with knowledgeable experts and top talent who believe in leading the industry through a high tech/high touch approach. To learn more about CFS, please visit www.cusonet.com.
For immediate consideration, apply online at: https://www.appone.com/MainInfoReq.asp?R_ID=2792030
CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC. offers a rewarding career path and potential for advancement as well as good benefits and a solid work/life balance. Our collaborative culture offers community through shared goals and strong work ethics.