Title

Insurance Licensing and Securities Registration Manager 


Division CUSO Financial Services, L.P.  

Position Insurance Licensing and Securities Registration Manager  

Location CFS and SPF Home Office - San Diego, CA  

Full-Time/Part-Time Full-Time  

Description

CUSO Financial Services, L.P., a National Broker Dealer serving Credit Union investment programs, is growing, and is seeking an Insurance Licensing and Securities Registration Manager to join our fun and successful organization. Our company culture fosters and encourages innovation and growth by promoting openness, flexibility and an entrepreneurial spirit.

The Insurance Licensing and Securities Registration Manager will be responsible for overseeing the corporate insurance licensing and company appointments for CFS.  The position will manage state regulatory requirements for the firm and supervise the process of agent licensing.  Position supervises three staff members within in the Registration Department and is responsible for providing training opportunities to encourage success and growth.  Along with the Registration Supervisor, position is responsible for managing the process of representative securities registration needs.   The Insurance Licensing and Securities Registration Manager will work closely with VP of Compliance to update policies as needed and perform department audit of data between internal and external systems.  Additionally, this position will perform some general compliance functions including new hire review of representatives, outside business activity review and approval, and other general compliance surveillance and audit functions.

Act as a resource to representatives for licensing and securities questions that may arise.  Support the VP of Compliance and Chief Compliance Officer on department and firm initiatives. Experience in reviewing and evaluating materials to ensure adherence to all FINRA, SEC, state and firm rules and regulations is a plus.

 

Position Requirements

Skill and Experience Requirements:

  • Must have minimum of 3+ years in a supervisory role experience in the Financial Services Industry
  • CA Resident Insurance license, FINRA Series 7, 24, 63, and 99 or equivalent
  • Expert knowledge of registration and licensing requirements is required
  • Basic knowledge of compliance regulations including surveillance and audit
  • Bachelor’s degree (B.A.) from four-year college or university; or five to six years of related industry experience and/or training
  • Must have a clean U-4
  • Excellent communication skills required.
  • Must possess good organizational skills and strong attention to detail.

CFS offers competitive salaries and comprehensive benefits package.

For immediate consideration, please apply online at: https://www.appone.com/MainInfoReq.asp?R_ID=696068

 

About CUSO Financial Services, L.P.

Developing and supporting successful financial investment programs requires diverse talents from many dedicated people with varying skill sets. As a national broker dealer and Registered Investment Adviser serving credit unions and their members in locations around the United States, we have many different opportunities to fit your career goals and to serve the needs of our customers.

CUSO Financial Services offers a rewarding career path and potential for advancement as well as good benefits and a solid work/life balance for people of high integrity. Our collaborative culture offers community through shared goals and strong work ethics. Our staff is well-educated and concerned about the success of your programs. We have a much lower turnover rate than is typical in the financial industry.

In fact, we have been recognized as one of the Best Places to Work honorees with an overall job satisfaction rate of more than 94% from our employees. As a result, we have many long-term employees who know our processes and efficiency goals, so you will get to work with knowledgeable experts and top talent who believe in leading the industry through a high tech/high touch approach.

If you are interested in a career dedicated to helping people gain and maintain their own financial independence, and where your work can have an impact, then we'd like to talk to you.

To learn more about us, please visit www.cusonet.com.

 


This position is currently not accepting applications.

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


 


 
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