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Title

Compliance Analyst 

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. is looking for a full time 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 Registered Principal will act in a general compliance support role capacity with a primary responsibility of reviewing and approving retail communications / advertising on behalf of the firm. The position may also involve general compliance duties to include the following:

  • Conducting compliance supervisory branch office inspections which will include some travel.
  • Monitoring the trading, investment and business activities of representatives for growing broker-dealer.
  • Reviewing client accounts to determine investment practices are in compliance with FINRA, SEC and firm policies and procedures.
  • Assisting in the development and review supervisory reports to monitor trading, licensing, registration and business activities of firm representatives.
  • Acting as a resource to representatives for compliance and legal questions that may arise.
  • Support compliance management in the review and resolution of client complaints and trade errors.
  • Support compliance and firm initiatives.
 
Position Requirements

Skill and Experience Requirements:

  • Series 7, 24 and 63 required.  Series 4, 53, 65 and insurance licensure are a plus.
  • Two years experience as Compliance Analyst or in a function primarily related to compliance preferred.
  • Prior experience with review and approval of industry retail communications / advertising is preferred.
  • BA / BS degree preferred.
  • Excellent communication skills required.
  • Must possess good organizational skills and strong attention to detail.
  • Strong investment product knowledge.

Qualified candidates should apply online at: https://www.appone.com/MainInfoReq.asp?R_ID=689381

EOE

To learn more about CUSO Financial Services, L.P., visit our website at www.cusonet.com

A great opportunity to be a part of a fun and growing company in San Diego! We look forward to hearing from you!

 

This position is currently not accepting applications.

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




 


 
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