Commonwealth Financial Network

Supervisor, New Accounts

US-CA-San Diego
Job ID
SD-2017
# of Openings
1
Category
New Accounts
Type
Full-Time

Overview

Commonwealth Financial Network® is the largest privately held independent broker/dealer–RIA in the U.S., with offices in Waltham, Massachusetts, and San Diego, California. Since 1979, we’ve been helping our field force of independent financial professionals help investors pursue their financial goals. We do that by providing them with the technology, research, resources, and support that allow them to keep their focus on what’s most important: investors and their financial objectives.

 

With that said, we are not your typical financial services firm. For starters, we’re a fast-growing company, and we think and have fun like a start-up. Conveniently located in the heart of downtown San Diego at the intersection of First and A streets, our office is a short walk to the COASTER, a few blocks from the entrance to both the 5 and the 163, and close to the 94.

 

Commonwealth recognizes that our people are our greatest asset by investing in training and professional development. As a result, Commonwealth has been recognized 36 times (and counting) as one of the Best Places to Work by top publications in the region (Boston Globe, Boston Business Journal, San Diego Business Journal, San Diego Union-Tribune), as well as in the IT industry (Computerworld). With high marks in areas such as work environment, work/life balance, job satisfaction, and opportunities for advancement, Commonwealth is a place where you can thrive.

 

Discover what it’s like to be psyched to come to work every day! We offer you:

 

  • A generous bonus plan
  • Stock options and use of vacation properties (Las Vegas, Key Biscayne, New England, the Bahamas, and the Dominican Republic)
  • A more relaxed, “dress for your day” dress code
  • Discounted athletic and swim club memberships
  • Ample opportunity to volunteer with and support local charities
  • A VTO (volunteer time off) day to use toward a cause that’s important to you
  • Tuition reimbursement
  • Free breakfast on Fridays
  • A competitive benefits package—and much more

About the Opportunity

The New Accounts department is a strong, steady force responsible for all areas of account maintenance, including establishing brokerage accounts, as well as shell accounts for those held directly with a sponsor firm. Our team of 30-plus is a blend of deep tenure and newer recruits, and it spans both coasts. We’re driven by following policies, procedures, and regulations to a T—all the while providing Commonwealth’s signature level of indispensable service.
 
We are looking to add a hands-on leader to this team—a skilled relationship builder with a proven management track record who can quickly earn the trust and respect of our advisors, as well as his or her coworkers. As the supervisor, being a self-motivated team player—someone who is able to give both constructive feedback and praise—is essential.
 
Think you have what it takes? Then let’s talk.
 

Responsibilities

  • Overseeing all members of the New Accounts department, as well as departmental workflow and procedures
  • Resolving escalated issues and providing indispensable customer service to our advisors, as well as to internal staff
  • Mentoring and motivating employees
  • Giving constructive feedback, when needed, and handling employee conflicts
  • Coordinating workflows between New Accounts and other departments in the firm, as well as sponsor firms
  • Recommending process, procedural, and structural enhancements for the department; working with IT product managers to develop applications to streamline processes
  • Overseeing training and serving as a technical resource to staff; updating departmental training manuals
  • Writing performance reviews and making recommendations regarding employment, training, development, and other personnel-related issues

Qualifications

  • 3+ years of leadership/management experience
  • Ability to take ownership and initiative to execute projects and process improvement ideas
  • A strong understanding of broker/dealer and investment advisor operations
  • FINRA Series 7 (preferred), Series 6, or Series 99
  • Ability to analyze complex issues with a view to providing recommendations and solutions
  • Exceptional leadership skills; able to work independently, as well as with a team
  • Strong attention to detail, with the ability to multitask in a fast-paced, high-pressure environment
  • Ability to work well with other departments
  • Bachelor’s degree (or equivalent) required

Summary

Have we piqued your curiosity? Can you see yourself thriving in this career opportunity, as well as our Anything but Common® workplace culture? If so—and if your background and experience align with our needs—please do submit your application right away.

 

Commonwealth Financial Network® is an equal opportunity employer that is committed to a diverse workforce.

 

 

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