CUSO Financial Services, L.P. (“CFS”) is looking for a Surveillance to join our growing, fun, and successful organization! Our company culture fosters and encourages innovation and professional growth by promoting openness, flexibility, and an entrepreneurial spirit.
The Surveillance Analyst will report directly to our Compliance Management team, working as part of Compliance Department staff supporting all general compliance functions as required by FINRA, SEC and state securities regulations.
Principal Duties and Responsibilities:
- Reviews Variable Annuities, Mutual Funds, 529s, Equities and Alternative Investments
- Reviews brokerage and /or insurance exception reports.
- Reviews representative’s personal brokerage account statements and trading activity.
- Responds to general field compliance inquiries.
- Identifies potential representative disciplinary issues and reports to direct supervisor.
- Assists in 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
Skill and Experience Requirements:
- Education and/or Experience: 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.
- Licenses and Registrations: 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.
- Reasoning Ability: Ability to analyze large amounts of data including recognizing trends. 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.
- Language Skills: 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.
- Computer Skills: Advanced computer skills including Microsoft Word, Excel, PowerPoint. Conduct research on the Internet and non-web research.
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.