Join a Successful and Winning Team!
CUSO Financial Services, L.P. is looking for an experienced Associate Office of Supervisory Jurisdiction (OSJ) with exceptional client service skills and a high degree of professionalism to join our successful organization. Our company culture fosters and encourages innovation and growth by promoting openness, flexibility, and an entrepreneurial spirit.
- Perform principal review of account disclosure documentation
- Perform principal review of transaction information
- Perform principal review of email communication
- Perform quality control on rejected items and facilitate communication between representatives and OSJ Supervisor
- Monitor and report on Branch Inspection and Representative Audit status including the creation of and follow up on exit letters and responses
- Run and analyze reports on behalf of department management
- Build working relationships with OSJ Supervisors to assist in the supervision of Registered Representatives and Program Managers
- Maintain a working knowledge of reporting capabilities within dataVISION and other software to utilize in the monitoring and detection of potential issues
- Initiate first contact with new programs and Registered Representatives
- Special projects as needed
- Seek process enhancements where available
- Supports Company Mission and Corporate Values
- Provide support for the OSJ Hotline fielding calls from representatives
- May be assigned to supervise the activity of assigned representatives around the country that do not have an on-site OSJ as determined by Management.
- May be asked to travel to conduct onsite audit and/or training visits to representatives and branches as determined by Management.
- Minimum of two years related industry experience and/or training
- Series 7 license required
- Series 63, or 66 licenses preferred, but not required
- Series 24 license preferred, or obtained within 90 days of hire
- Product and market experience within the Financial Service industry
- Excellent communication skills with the ability to provide a high level of customer service
- Strong attention to detail and ability to multi-task is required
- Two to four year college degree, or equivalent combination of education and experience
- Individual sales and production experience is preferred
- Retail supervision experience preferred
- Proficiency with Microsoft Excel preferred
For immediate consideration, apply online at: https://www.appone.com/MainInfoReq.asp?R_ID=2865170
CFS and SPF offer a rewarding career path and potential for advancement as well as good benefits and a solid work/life balance for people of high integrity. Our collaborative culture offers community through shared goals and strong work ethics. Our staff is well-educated and concerned about the success of our programs. We have a much lower turnover rate than is typical in the financial industry.
In fact, we have been 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 and SPF, please visit www.cusonet.com and www.sorrentopacific.com.