Commonwealth Financial Network

  • Supervisor, Account Supervision (Direct Investments)

    Job Locations US-CA-San Diego
    Job ID
    SD-2018-CS
    # of Openings
    1
    Category
    Direct Investments
    Type
    Full-Time
  • Overview

    Are you familiar with complex investment products and the risks associated with supervising these types of transactions? Do you have experience in teambuilding and leadership? If so, this opportunity to help manage our growing Account Supervision (Direct Investments) might be the perfect next step in your career.

     

    As the supervisor of the San Diego Account Supervision (Direct Investments), you will lead an exciting and dynamic group of seven professionals who process and supervise everything from change of broker/dealer requests to complex products such as alternative investments and variable annuities. Our team members are the gatekeepers of all business at Commonwealth, and provide principal approval of all directly held accounts, as well as NFS brokerage and Preferred Portfolio Services® (PPS) accounts. 

     

    Key responsibilities

    • Meeting regularly with team members to ensure that their needs are met and to assess their current challenges 
    • Providing timely feedback to team members on their performance 
    • Making recommendations and decisions in all compensation areas, including annual compensation, annual bonuses, and promotions 
    • Accurately and efficiently identifying, understanding, and resolving issues; providing indispensable customer service to our advisors, as well as internal staff
    • Overseeing training and serving as a technical resource to staff
    • Serving as the escalation point of contact; resolving escalated issues, as well as researching and providing guidance to associates for complex issues
    • Keeping up-to-date on the ever-changing regulatory environment
    • Understanding and ensuring that all firm policies and procedures are met and followed by all direct reports

     

    Core strengths

     

    • Energetic and hardworking
    • Excellent written and verbal communication skills
    • Detail oriented with strong analytical and organizational skills
    • Self-driven and motivated
    • Ability to make tough decisions in a fast-paced environment
    • Ability to work under pressure
    • Must have excellent time management skills and the ability to multitask 
    • Knowledge of variable annuity and alternative investment products is a plus

     

    Additional skills and knowledge

     

    • 5–10 years of financial services experience required
    • 1–2 years of team leader or supervision experience strongly preferred
    • FINRA Series 7, 24, 53 and 66 securities licenses, or equivalents strongly preferred

     

    Have we piqued your curiosity? Can you see yourself thriving in this opportunity? Let’s introduce ourselves.

     

    About Commonwealth—and Our Anything but Common® Culture

     

    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 delivering indispensable service to independent financial professionals so they, in turn, can put their clients first. Our technology, research, resources, and support—plus a variety of affiliation models—deliver what today’s independent advisors need to thrive.

     

    That being said, we are a financial services company with a unique mission—one that encompasses purpose, vision, and core values in equal measure. Staying true to these guiding principles is the reason we are recognized so often and by so many for the quality of life we enjoy here. We believe it directly translates to a better experience for everyone: employees, advisors, clients, and our communities.

     

    Creating a supportive culture where everyone can thrive is a mission we take seriously. From professional development to comprehensive benefits, grassroots leadership opportunities, generous bonus and stock option incentive plans, opportunities to unwind and connect, and so much more, Commonwealth is not just a great place to work—it’s a place that, for many, feels like home.

     

    Commonwealth Financial Network® is an equal opportunity employer that is committed to a diverse workforce.

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