CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC. have an exciting opportunity for an OSJ Branch Supervisor to joing our growing and successful organization! Our company culture fosters and encourages innovation and growth by promoting openness, flexibility, and an entrepreneurial spirit.
The OSJ Branch Supervsior will be responsible for:
- Performs periodic conference/WebEx calls with representatives, providing regulatory insight and training on documentation and sales best practices.
- Performs principal review of new account applications and compliance required forms.
- Performs principal review of all representative transactions (Trade Blotter).
- Performs principal review of all correspondence to and from representatives.
- Provides guidance to representatives regarding compliance matters.
- Partners with Program Manager to oversee investment program to ensure satisfactory compliance with CFS and regulatory policies.
- Trains representatives, assistants, and program managers in CFS procedures as well as dataVISION capabilities.
- Maintains in depth working knowledge of the reporting capabilities of dataVISION, and its ability to be utilized in monitoring and detection of potential issues.
- Supervises activity of assigned representatives around the country that do not have an on-site OSJ.
- Travels to conduct onsite audit and/or training visits to representatives and branches. Must meet with assigned programs 2-3 times each year.
- Maintains and builds a working relationship with representatives to develop their skills in promoting increased business opportunities.
- Sets and keeps consistent office hours at the CFS back office.
- Supports Company Mission and Corporate Values.
Qualified candidates will have the Series 7, 24, 53, 63 and 65 (or 66) licenses, with a minimum of three years with the Series 24 license. Candidates must have prior experience as registered principals overseeing the sales activities of retail Series 7 and 65 Representatives (ideally in a bank or credit union environment). This individual must have a strong sales supervision background, with strong suitability analysis required. Must also have product and market experience, posses’ excellent communication skills, and have a two to four year college degree. Individual sales and production experience is also preferred.
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.