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Title

Advisory Compliance Analyst  

Division CUSO Financial Services, L.P.  
Position Advisory 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 hiring for a Advisory Compliance Analyst to join our growing 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 advisory compliance and registration functions as required by FINRA, SEC, and state securities regulations.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

  • Conducts surveillance and review of advisory exception reports.

  • Conducts ongoing advisory surveillance of sales trends.

  • Responds to general advisory compliance inquiries from the field.

  • Assists in research of advisory compliance related projects.

  • Conducts annual supervisory audits of OSJ branches as assigned.

  • Assists with general compliance matters as assigned including, but not limited to, periodic pre-audit reports as assigned.

  • Assists in preparation of advisory regulatory responses and filings as assigned.

  • Reviews representative and immediate family personal brokerage account statement trading activity.

  • Identifies potential representative disciplinary issues, and reports to direct supervisor.

  • Sets and keeps consistent office hours at the CFS back office.

  • Supports Company Mission and Corporate Values.

  • Other projects and duties may be assigned.

 
Position Requirements
  • Bachelor's degree (B. A. / B.S.) from four-year college or university preferred and two to four years industry related experience and/or training; or equivalent combination of education and experience required.

  • Series 7, 63, and 65/66 licenses required and Series 24 preferred or the ability to obtain the stated licenses within the first 90 days of employment.

  • Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists.

  • Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form.

  • Must possess excellent organizational skills and strong attention to detail.

  • Must have strong multi-tasking and communication skills.

     

CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC. offer 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.

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 drive growth. Atria’s broker-dealer subsidiaries include CUSO Financial Services, LP, Sorrento Pacific Financial, LLC, Cadaret Grant & Co., Inc., NEXT Financial Group, Inc. and Western International Securities, Inc. Atria’s subsidiaries together support nearly 2,500 financial professionals with more than $75 billion of assets under administration. For more information, please visit www.atriawealth.com.

EOE

 

This position is currently accepting applications.

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