Do you have at least three years of experience in a compliance or supervisory role, as well as (at a minimum) your FINRA Series 7 and 24 securities registrations? Is your attention to detail exceptional? How about your ability to influence others to achieve positive outcomes?
As Commonwealth’s Compliance department, our focus is on following the rules and regulations set forth by the SEC, FINRA, MSRB, NFA, and individual states, but it is just as important that our approaches to customer service and communication are top notch, too. Our Surveillance team is looking for someone who understands that balance—a proactive, objective, and analytically minded problem solver.
The Surveillance team is responsible for reviewing internal exception reports, with an eye toward identifying patterns and trends that might require further follow-up. When necessary, we influence and persuade advisors to take corrective action to help them protect their clients and their practice.
Additional skills and knowledge
Please note: A cover letter describing your personal and professional experiences and attributes and how they meet the requirements for this position is highly recommended.
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.