Commonwealth Financial Network

  • Compliance Administrator, Branch Audit

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

    Are you a bright, motivated person who is interested in developing a career in the securities industry? Our Branch Audit team, a unit within the larger Compliance department, consists of compliance professionals who visit Commonwealth’s nationwide branch offices to conduct annual inspections. The role of team administrator is essential in keeping our operation running smoothly.


    The right person for this opportunity will provide indispensable team support, pay excellent attention to all the details, and be deadline driven. A drive to learn the audit process, obtain industry licenses, and potentially grow into a branch auditor career path is valued in candidates. 


    Key responsibilities 

    • Providing ongoing administrative support to the Branch Audit team
    • Preparing documentation that is analyzed during the pre-branch exam process
    • Managing outside consultant relationships
    • Assisting with the management and retention of confidential documentation
    • Working on various projects in support of the Branch Audit team
    • Communicating with other Compliance teams, firm departments, and branch office personnel


    Core strengths 

    • Growth oriented, both personally and professionally
    • Ability to work within both group and autonomous settings
    • Working knowledge of Microsoft Office basics (e.g., Word, Excel, Access)
    • Strong attention to detail
    • Highly motivated
    • Deadline driven
    • A positive attitude
    • Effective communication skills, both written and oral
    • Quick learner
    • Comfortable in a fast-paced, dynamic environment
    • A willingness to acquire the FINRA Series 7 securities registration


    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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