Commonwealth Financial Network

  • Compliance Operations Administrator

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

    Are you interested in building a career in the securities industry—and looking for a foot-in-the-door opportunity? Do people describe you as being bright and motivated? If so, you might be a great fit for this role as a compliance operations administrator.


    This position will have you working directly with Commonwealth’s financial advisors, as well as home office staff, to help interpret and apply state, federal, and other rules and regulations governing the securities industry. 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 

    • Providing ongoing administrative support to home office staff and financial advisors
    • Assisting in the tracking and analysis of regulatory reporting requirements
    • Collaborating with our internal Compliance teams and firm departments, as well as with advisors and their staff
    • Assisting with the management and retention of confidential documentation
    • Processing a high-volume of data entry
    • Preparing and maintaining compliance reports

    Core strengths 

    • Strong attention to detail
    • Highly self-motivated
    • Growth-oriented, both personally and professionally; interested in developing a career in the securities industry
    • Ability to work within group and autonomous settings
    • Deadline-driven
    • A positive attitude
    • Effective communication skills, both written and oral
    • Quick learner
    • Comfortable in a fast-paced, dynamic environment

    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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