Compliance Analyst

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 be responsible for conducting FINRA and SEC regulatory branch audits which includes some travel. Monitor trading, investment and business activities for growing broker dealer. Review client accounts to determine investment practices are in compliance with FINRA, SEC and firm policies and procedures. Develop and review supervisory reports to monitor trading, licensing, registration and business activities of firm representatives. Act as a resource to representatives for compliance and legal questions that may arise. Support the Chief Compliance Officer on department and firm initiatives. Experience in reviewing and evaluating all marketing and sales advertising materials to ensure adherence to all FINRA, SEC, and firm rules and regulations is a plus.

 

Skill and Experience Requirements:

 

·         Series 7, 24 and 63 required. Series 65 preferred. Series 4 and 53 and insurance license are a plus.

·         Two years experience as Compliance Analyst or in a function primarily related to compliance preferred.

·         Bachelors degree preferred.

·         Excellent communication skills required.

·         Must possess good organizational skills and strong attention to detail.

·         Strong investment product knowledge.

 

Qualified candidates can email their resume including salary requirements by clicking the following link: www.cusonet.com/careers and select the Apply Now link. 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!