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Title

Compliance Analyst - Core Compliance 

Division CUSO Financial Services, L.P.  
Position Compliance Analyst  
Location CFS and SPF Home Office - San Diego, CA  
Full-Time/Part-Time Full-Time  
Description

CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC. are looking for a Compliance Analyst 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 is responsible for supporting all general compliance and registration functions as required by FINRA, SEC, and state securities and insurance regulations.

Position duties include but not limited to:

  • Assists in the review and response to client complaint and correction issues as assigned
  • Assists with regulatory complaint filings
  • Supports responses to regulatory exams and inquiries as assigned
  • Reviews and approves retail communications on behalf of firm
  • Reviews and approves new hire candidates on behalf of firm
  • Reviews representative personal brokerage account statements and trading activity
  • Reviews and responds to general field compliance inquiries
  • Identifies potential representative disciplinary issues and reports to direct supervisor
  • Conducts compliance training for representatives and assistants as assigned
  • Conducts auditing tasks of annual supervisory branch examinations as assigned
  • Maintains consistent office hours at the firm’s home office
  • Supports Company Mission and Corporate Values
  • Other projects and duties may be assigned

 

 
Position Requirements

Education, Skills and Experience Requirements:

 

  • Bachelor's degree from four-year college or university; or six to eight years related experience and/or training; or equivalent combination of education and experience
  • Previous experience in the financial services industry
  • FINRA Series 7, 24, and 63 or 66 are required
  • Excellent verbal and written communication skills
  • Ability to provide a high level of customer service
  • Strong computer skills including: Microsoft Office Excel, Word and Outlook
  • Ability to multi-task, prioritize work and problem solve efficiently
  • Able to perform a variety of analytical techniques to identify, analyze, and solve problems of a complex nature in a timely manner.


For immediate consideration, please apply online at:  https://www.appone.com/MainInfoReq.asp?R_ID=3290557


EOE

CUSO Financial Services, L.P. offers a rewarding career path and potential for advancement as well as good benefits. Our collaborative culture offers community through shared goals and strong work ethics. To learn more about CFS, please visit www.cusonet.com.

 

This position is currently not accepting applications.

To search for an open position, please go to http://CUSO.appone.com




 


 
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