Commonwealth Financial Network

  • Compliance Operations Licensing Specialist

    Job Locations US-MA-Waltham
    Job ID
    W-2019-MM
    # of Openings
    1
    Category
    Compliance
    Type
    Full-Time
  • Overview

    Are you interested in building a career in the securities industry? Do people describe you as bright and motivated? If so, this position in our Compliance department as a licensing specialist might be the opportunity you have been looking for.

     

    This position will have you working directly with Commonwealth’s financial advisors, as well as home office staff, providing assistance on all aspects of the regulatory requirements affecting licensing and registration. Having a strong desire to learn, along with the ability to handle multiple projects in a fast-paced and dynamic work environment—all while paying close attention to the details—will be key to your success.

     

    Key responsibilities 

    • Filing financial advisors’ registrations and licenses with applicable state and federal licensing authorities
    • Coordinating the registration and onboarding of new registered representatives, registered assistants, non-registered assistants, and home office employees
    • Emphasizing customer service and continuous improvement while ensuring compliance with FINRA and other relevant regulations; submitting and filing individual applications or amendments with FINRA, the SEC, and/or state agencies
    • Processing insurance licenses, agent appointments, and renewals with multiple insurance carriers
    • Collaborating with other Compliance teams, firm departments, and branch office personnel
    • Building relationships with our financial advisors and their staff by consistently providing the highest level of service
    • Educating and consulting advisors and staff, as well as Commonwealth employees, on a broad range of Compliance and licensing topics, from policies and procedures to rules and regulations, both verbally and in writing
    • Upholding Commonwealth’s legacy of providing indispensable service—a level of service so satisfying that our advisors would never want to be without you
    • Assisting with special projects, as needed

     

     Core strengths 

    • Highly motivated with a desire to grow in the role
    • A demonstrated passion for customer service
    • Excellent listening and communications skills, both written and verbal
    • Great organizational skills
    • Ability to multitask while paying close attention to detail
    • Aptitude to use multiple systems and follow procedures
    • Positive attitude with a strong desire to help others
    • Proficiency with Microsoft Office applications
    • Ability to work as a member of 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. 

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