Commonwealth Financial Network

  • Advisory Operations Review Principal

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

    Over the last decade, the financial services industry has trended toward advisory business, and there are now more channels in which advisors can facilitate business (RIA-Only, IAR-Only, hybrid, etc.). Currently, more than half of our revenue comes from advisory business, and this number is only expected to grow. Our Direct Investments team is looking for someone who can help bridge the gap between advisory products and enhance the operational workflow and knowledge surrounding them.


    The ideal candidate for this position is energetic and hardworking, has excellent communication skills, is self-driven and motivated, and can adapt quickly to this industry’s constantly changing rules.


    Key responsibilities 

    • Processing third-party advisory business
    • Ensuring that investment adviser regulations are being followed and any new regulations are implemented, as needed
    • Educating in-house staff, as well as the field, to ensure that they are fully aware of all advisory programs available for use, as well as how to facilitate business through them
    • Collaborating closely with Operations, Wealth Management, and Compliance to ensure that resources are accurate
    • Looking for process improvements to increase operational efficiency between departments

     Core strengths 

    • Excellent written and verbal communication skills
    • Strong attention to detail
    • FINRA Series 7, 24, 53, and 66 securities registrations required 
    • Detail oriented with strong analytical and organizational skills
    • Ability to meet deadlines in a fast-paced environment
    • Ability to work well independently and under pressure
    • 2–3 years of financial services experience required


    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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