Commonwealth Financial Network

Compliance Administrator – Advertising Review

US-MA-Waltham
Job ID
W-2017
# of Openings
1
Category
Compliance
Type
Full-Time

Overview

Commonwealth Financial Network® is the largest privately held Registered Investment Adviser–broker/dealer 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 on the commuter rail near the intersection of Route 95 and the Mass Pike, we’re accessible from anywhere—and away from the congestion of a downtown commute.

 

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 (Cape Cod, Lake Winnipesaukee, Sunday River, Key Biscayne, Las Vegas, the Bahamas, and the Dominican Republic)
  • A more relaxed, “dress for your day” dress code
  • A free on-site fitness center
  • 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

Would you—and the people who know you—describe yourself as motivated and bright? Are you interested in developing your career in the securities industry? If so, our 10-person Advertising Review team in Compliance is looking for someone who fits that bill—along with having top-notch communication and customer service skills, which are a hallmark of Commonwealth employees.
 
As a compliance administrator, you will be supporting our team with its responsibility for reviewing all client-facing materials written by our employees, advisors, and third-party sources, ensuring that everything adheres to FINRA, SEC, and state rules and regulations, and that it contains all appropriate disclosures and verbiage. Outstanding attention to detail is a must! Think you have what it takes? Then let’s talk.

Responsibilities

  • Providing ongoing administrative support to the Advertising Review team
  • Prioritizing rush requests for the Advertising Review team
  • Responding to questions from advisors’ offices regarding the status of submissions
  • Maintaining and updating various spreadsheets, as well as preparing files for imaging
  • Working on various projects in support of the Advertising Review team
  • Communicating with other Compliance teams, firm departments, and branch office personnel

Qualifications

  • A passion for service; superb customer relationship skills
  • Working knowledge of Microsoft Office basics (e.g., Word, Excel, Access)
  • Ability to consistently provide a high level of attention to detail
  • Deadline driven; able to prioritize and work on multiple tasks effectively
  • Growth oriented, both personally and professionally
  • Effective organization skills
  • A positive attitude
  • Strong communication skills, both written and oral
  • Quick learner; able to work well independently and under pressure
  • Comfortable in a fast-paced, dynamic environment
  • FINRA Series 7 securities registration, preferred but not required
  • Willingness to become securities registered
  • College degree 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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