Commonwealth Financial Network

  • Trader

    Job Locations US-CA-San Diego
    Job ID
    # of Openings
    Trade Desk
  • Overview

    Are you an energetic, hardworking team player? A superb problem solver with excellent communication skills and a couple of years of trading experience? We are looking for someone with this skill set—who excels at providing indispensable service—to join our fast-paced Trading department.


    On a day-to-day basis, the Trading department is responsible for executing the purchase and sale of securities on behalf of our advisors’ clients, as well as for facilitating other investment transactions and answering market-related questions from the field. The department also provides support and training to advisors on how to use our portfolio rebalancing system, along with the various other electronic trading platforms we have available. Staying on top of the current market conditions is a must, as is the ability to adapt quickly to constantly changing rules and procedures.


    Key responsibilities

    • Executing mutual fund, stock, option, unit investment trust, and fixed income trades within National Financial Services (NFS) and Pershing brokerage accounts
    • Handling trade corrections, reorg items, and cashless stock option exercises; monitoring various surveillance reports
    • Answering questions and providing training via phone and e-mail on various proprietary electronic trading platforms
    • Troubleshooting problems and identifying trade system issues
    • Following Trade Desk and FINRA procedures and regulations 

    Core strengths

    • FINRA Series 7 securities registration required; FINRA Series 4 and 24 securities registrations a plus
    • At least 2 years of trading experience
    • A strong commitment to accuracy, details, and logical decision-making
    • Dedication to providing indispensable customer service
    • Ability to multitask and work under pressure
    • Knowledge of NFS and Pershing systems
    • Ability to analyze data quickly
    • Strong interpersonal communication and listening skills, including phone and e-mail etiquette
    • Ability to work in a fast-paced, dynamic environment
    • Quick learner
    • Proficient with Excel  

    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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