Commonwealth Financial Network

  • Supervisor, Transfer of Assets

    Job Locations US-MA-Waltham
    Job ID
    # of Openings
    Transfer of Assets
  • Overview

    Our Transfer of Assets department is a strong and steady, hardworking yet fun team that is responsible for all account transfers into and out of Commonwealth. Our team of 20 is a blend of deep tenure and newer recruits, and it spans both coasts. We’re driven by attention to detail and following policies, procedures, and regulations to a T—all the while providing Commonwealth’s signature level of indispensable service.


    We are looking to add a hands-on leader to this team—a skilled relationship builder with a proven management track record. The right candidate will be someone who will quickly earn the trust and respect of our advisors, as well as his or her coworkers. The supervisor will be a self-motivated team player who is able to give constructive feedback as well as praise. If that sounds like you—and if you thrive on handling multiple projects in a fast-paced and dynamic environment—let’s introduce ourselves.


    Key responsibilities 

    • Overseeing 6–8 East Coast members of the TOA team; providing monthly case and call reviews, as well as monthly statistics for each direct report
    • Resolving escalated issues and providing indispensable customer service to our advisors, as well as internal staff
    • Overseeing training and serving as a technical resource to staff
    • Providing guidance through positive motivation and effective performance coaching
    • Giving constructive feedback when needed and handling employee conflicts
    • Coordinating workflows between TOA and other departments in the firm, as well as sponsor firms
    • Recommending process, procedural, and structural enhancements for the department; working with IT product managers to develop applications to streamline processes
    • Overseeing training and serving as a technical resource to staff; updating departmental training manuals
    • Writing performance reviews and making recommendations regarding employment, training, development, and all other personnel-related issue 

    Core strengths 

    • 3+ years of leadership/management experience
    • A positive, can-do attitude, including outstanding interpersonal skills
    • Ability to take ownership and initiative to execute projects and process improvement ideas
    • A strong understanding of broker/dealer and investment advisor operations
    • Ability to be flexible and multitask in a fast-paced, high-pressure environment
    • Ability to analyze complex issues with a view to providing recommendations and solutions
    • Exceptional leadership skills; able to work independently, as well as with a team
    • Strong attention to detail
    • Ability to work well with other departments
    • FINRA Series 6, 7 (preferred), or 99 securities registration
    • Bachelor’s degree (or equivalent) required  

    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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