Commonwealth Financial Network

Compliance Advisor, Branch Audit

US-MA-Waltham
Job ID
W/SD-2017-9000
# 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 37 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

As a compliance advisor on the Branch Audit team, you’ll be traveling to advisor offices nationwide to conduct on-site inspections (both scheduled and unannounced) to help us oversee the securities and advisory business of Commonwealth’s 1,710 individual advisors. Your mission will be to ensure that each business is run in a manner consistent with both the spirit and the letter of industry rules and regulations, as well as the firm’s compliance and supervisory programs, to decrease the firm’s exposure to regulatory and financial risk.
 
Commonwealth’s auditors need to be analytical, detail driven, and excellent communicators. Being on the road and working with minimal supervision, they also need to be excellent at managing their time and meeting deadlines. Think you have what it takes? Then let’s talk.
 

Responsibilities

  • Conducting on-site inspections of Commonwealth’s branch offices nationwide and completing associated reporting
  • Communicating regularly with advisors, as well as home office employees, with regard to firm policy and procedures
  • Contributing industry and functional expertise and experience in the onboarding and training of newly affiliated advisors
  • Completing a variety of general compliance projects, such as communications, presentations, teleconferences, and other ad hoc tasks

Qualifications

  • A minimum of 3 years’ experience in compliance or the financial services industry
  • Branch office audit experience preferred
  • FINRA Series 7 and 24 securities registrations required; additional FINRA registrations required thereafter
  • Ability to travel
  • Detail oriented with strong analytical and organizational skills
  • Ability to meet deadlines in a fast-paced environment
  • Excellent written and verbal communication skills
  • Ability to work under minimal supervision
  • Proficient in Microsoft Word and Excel

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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