Commonwealth Financial Network

  • Compliance Intern, Consulting

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

    Are you process oriented, team oriented, and enthusiastic about taking on a summer internship? Our Compliance Consulting team is looking for a critical thinker to support the group in its due diligence, reporting, communications, and special projects. 


    The Compliance department is responsible for interpreting and enforcing various rules and regulations the firm and our advisors must follow. By providing ongoing training, guidance, and support to advisors and their staff, as well as internal departments, this team ensures ongoing compliance with industry requirements and best practices. 


    Key responsibilities 

    • Providing support to the Compliance Consulting team 
    • Processing due diligence meeting requests to ensure compliance with industry rules 
    • Analyzing advisors’ client reporting and documenting the research 
    • Sending communications to obtain information from advisors and documenting this information 
    • Conducting a variety of general compliance functions in support of the Consulting team 
    • Assisting with special projects, as needed 

    Core strengths 

    • Strong written and verbal communication skills 
    • Professional phone skills and active listening skills 
    • Critical thinking and analytical skills 
    • Detail and process oriented 
    • Patient with repetitive work 
    • Ability to work in a fast-paced environment while being flexible 
    • Ability to follow direction and collaborate with a team 

    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.


    Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
    Share on your newsfeed