Commonwealth Financial Network

Compliance Technical Analyst

Job Locations US-MA-Waltham
Job ID
W-2018-003
# of Openings
1
Category
Compliance
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
  • A competitive benefits package—and much more

About the Opportunity

As the Compliance department continues to expand, and the number of tools we develop and purchase grows in proportion, it is becoming increasingly important to test our legacy tools to ensure compliance with internal policy and regulatory focus. We are looking for someone with strong creative-thinking skills—as well as a high level of attention to detail—to perform due diligence on our tools and technology. The right candidate will have broad, demonstrated experience in quality assurance, technology, or compliance, as well as a passion for—and knowledge of—technology systems.
 
If you think you have what it takes, then let’s introduce ourselves.

Responsibilities

  • Assisting the compliance IT product manager in evaluating all existing tools and applications, as well as establishing and administering a review and testing calendar in accordance with the risk of the application
  • Establishing testing plans to administer and document ongoing tests of critical legacy systems
  • Assisting the QA department and IT product manager in testing new applications upon release into the QA and production environments
  • Investigating reports of bugs within applications and documenting the trail of evidence that leads a user to a particular problem
  • Ensuring compliance with state and federal regulations through the testing program in order to decrease the firm’s exposure to regulatory and legal risk

Qualifications

Experience

  • 3+ years of broad, demonstrated experience in quality assurance, technology, or compliance
  • A passionate interest and general knowledge in technology systems
  • Testing experience in any industry, a plus 

Knowledge

  • A broad understanding of state and federal regulations or the ability to learn and understand adaptations to firm policy quickly
  • Demonstrated understanding of technology—specifically SharePoint, Excel, web, and database systems
  • College degree required

Skills

  • Ability to consistently provide a high level of attention to detail
  • Strong communication skills—both written and oral
  • Effective time-management and organizational skills
  • Ability to thrive under complete autonomy and finish projects with limited management involvement
  • Confidence to challenge the status quo and to present new solutions for existing problems to colleagues and managers colleagues
  • Strong creative-thinking skills to evaluate problems from different perspectives while keeping an open mind

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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