Commonwealth Financial Network

  • Compliance Advisor – Advertising Review

    Job Locations US-CA-San Diego
    Job ID
    # of Openings
  • 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:


    • Generous bonus and stock option incentive plans
    • Use of our chairman’s vacation properties (Las Vegas, Park City, Key Biscayne, New England, the Bahamas, and the Dominican Republic) at no cost
    • Fully paid maternity leave (12 weeks) and spousal leave (3 weeks)
    • 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

    We are looking for a strong relationship builder with excellent communication skills—and a background in advertisement/sales literature review—to join our Compliance department’s Advertising Review team. On a day-to-day basis, our Compliance department works with home office staff and advisors to interpret and apply state, federal, and other rules and regulations governing the securities industry.
    If you think you have what it takes—including a couple of key FINRA securities registrations (Series 7 and 24) and the ability to consistently provide a high level of attention to detail—then let’s introduce ourselves.


    • Reviewing and approving materials from advisors and Corporate Marketing, including sales literature, newsletters, websites, social media posts, advertisements, marketing materials, and prospecting tools
    • Ensuring compliance with state and federal regulations in order to decrease the firm’s exposure to regulatory and legal risk
    • Providing alternative ideas for advertising submissions that do not meet regulatory standards
    • Contributing to high-priority projects on an as-needed basis



    • 3+ years of experience in compliance or financial services
    • A background in advertisement/sales literature review


    • A background in securities, including mutual funds, variable annuities, alternative investments, and equity and debt products, as well as knowledge of investment advisory advertising standards
    • FINRA Series 7 and 24 securities registrations required; Series 53 must be obtained within 6 months of hire
    • College degree required 


    • A passion for service; superb customer relationship 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 work well independently and under pressure


    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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