Commonwealth Financial Network

  • Trade Review Principal

    Job Locations US-CA-San Diego
    Job ID
    # of Openings
    Direct Investments
  • 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 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 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 (Las Vegas, Park City, 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

    Our Direct Investments team is looking for someone who is energetic, hardworking, and knowledgeable about current market conditions; has excellent communication skills; and can adapt quickly to the industry’s constantly changing rules and procedures. In this fast-paced, deadline-driven environment, the ability to work well independently and handle difficult situations in a professional manner is essential.
    If you think you have what it takes—including a few years of experience in financial services, as well as FINRA Series 7, 24, 53, and 66 securities registrations—then let’s talk.


    • Conducting suitability review of brokerage transactions involving equities, leveraged and inverse exchange-traded funds, mutual funds, fixed income securities, unit investment trusts, and precious metals
    • Reviewing and approving of trade blotters
    • Notifying advisors when a transaction conflicts with a client’s investment profile
    • Documenting and tracking all advisor responses to trade inquiries
    • Discussing regulatory rules and company policies with advisors
    • Analyzing the suitability requirements for specific client transactions and reviewing them with advisors
    • Working closely with the Trade Desk and Compliance


    Excellent written and verbal communication skills
    Strong attention to detail
    Minimum 3 years of experience in the financial services industry
    FINRA Series 7, 24, 53, and 66 securities registrations required
    Detail-oriented with strong analytical and organizational skills
    Ability to meet deadlines in a fast-paced environment
    Ability to work well independently and under pressure
    Proficient in Microsoft Word and Excel
    A background in securities, including mutual funds, equities, options, and fixed income products
    Familiarity with the current regulatory environment as it relates to client suitability in the financial services industry


    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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