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:
- Reviews / approves marketing and sales literature on behalf of firm and files with FINRA ARD as needed.
- Reviews, approves and surveils social media content for representatives
- Reviews and maintains brokerage, advisory and/or insurance exception reports.
- Reviews representative personal brokerage account statements and trading activity.
- Responds to general field compliance inquiries.
- Identifies potential representative disciplinary issues and reports to direct supervisor.
- Conducts compliance training for representatives and assistants.
- Conducts annual supervisory audits of OSJ branches as assigned.
- Sets and keeps consistent office hours at the CFS back office
- Supports Company Mission and Corporate Values
- Other projects and duties may be assigned
Skill and Experience Requirements:
- Bachelor's degree (B. A. / B.S.) from four-year college or university; or five to six years related experience and/or training; or equivalent combination of education and experience.
- Series 7, 24 and 63 or 66 licenses required
- Must possess excellent business communication / writing
- Must possess excellent organizational skills and strong attention to detail.
- Must have strong multi-tasking skills.
- Ability to conduct research on the Internet and non-web research.
- Advanced computer skills including Microsoft Word, Excel, and PowerPoint.
For immediate consideration, please apply online at: https://www.appone.com/MainInfoReq.asp?R_ID=3303105
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.