Commonwealth Financial Network

  • Compliance Advisor, Branch Audit

    Job Locations US-MA-Waltham
    Job ID
    W-2018-004
    # of Openings
    1
    Category
    Compliance
    Type
    Full-Time
  • Overview

    As a compliance advisor on the Branch Audit team, you will be traveling to advisor offices nationwide to conduct on-site inspections (both scheduled and unannounced) to help us oversee the securities and advisory businesses of more than 1,900 Commonwealth advisors. Your mission will be to ensure that each business is run in a manner that is consistent with both the spirit and the letter of industry rules and regulations, as well as the firm’s compliance and supervisory programs, to decrease exposure to regulatory and financial risk.

     

    Commonwealth’s auditors need to be excellent communicators who are analytical and detail-driven. Being on the road and working with minimal supervision, they also must be skilled at managing their time and meeting deadlines.

     

    Key responsibilities

    • Conducting on-site inspections of Commonwealth’s branch offices nationwide and documenting associated audit findings in a timely manner
    • Communicating regularly with advisors, as well as home office employees, regarding firm policies and procedures
    • Completing a variety of general compliance projects, such as drafting internal communications; presenting at firm conferences; conducting continuing education teleconferences, data analysis, and internal compliance reviews; and performing other tasks as assigned

     

    Core strengths

     

    • A minimum of 2 years of experience in compliance or the financial services industry
    • FINRA Series 7 securities registration required; FINRA Series 24 securities registration required within 3–6 months
    • Able to commit to traveling 40 percent of the time
    • Excellent written and verbal communication skills
    • Detail-oriented with strong analytical and organizational skills
    • Ability to meet deadlines in a fast-paced environment
    • Ability to work under minimal supervision
    • Proficient in Microsoft Word and Excel

     

    Please note: This position is based in our Waltham, MA home office.

     

    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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