Commonwealth Financial Network

Attorney

US-MA-Waltham
Job ID
W-2018-001
# of Openings
1
Category
Legal
Type
Full-Time

Overview

Commonwealth Financial Network® is the largest privately held Registered Investment Adviser–independent 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 38 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, Park City, 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

About the Opportunity

Commonwealth’s Legal team is passionate about innovating, solving problems, and making an impact—and we look to bring on board an attorney who shares in this same passion. Our team sets the bar high and strives to consistently provide indispensable service to our network of independent financial advisors and in-house business partners. We are part of a community that values hard work, as well as work/life balance, within a company that is committed to giving back to our surrounding communities. If these qualities resonate with you—and you’ve got the background and experience required to excel as a corporate attorney—then let’s talk.

Responsibilities

  • Drafting and negotiating a variety of commercial agreements, including customer agreements, contracts, vendor agreements, loan documents, and NDAs
  • Drafting corporate documents as needed
  • Responding to inquiries from internal departments concerning trusts and estates, guardianships, powers of attorney, subpoenas, and court documents
  • Providing general legal advice to members of Commonwealth’s various business departments, including Compliance, Conferences and Events, Information Technology, and Operations
  • Assisting senior attorneys in our group with respect to a broad range of corporate legal needs, including legal research and investigation, corporate governance, and regulatory matters
  • Acting as a liaison with the firm’s Compliance department and assisting with the implementation of select policies and procedures

Qualifications

  • JD from an accredited law school
  • 3+ years of relevant corporate experience
  • Superb written and verbal communication skills
  • Proven ability to manage multiple projects and meet deadlines
  • Creative problem-solving skills, attention to detail, and intellectual curiosity
  • Knowledge regarding the operations of a broker/dealer and Registered Investment Adviser, as well as the applicable federal securities laws and regulations, FINRA and MSRB rules a plus

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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