Commonwealth Financial Network

  • Compliance Advisor, RIA Compliance

    Job Locations US-MA-Waltham
    Job ID
    W-2019-074
    # of Openings
    1
    Category
    Compliance
    Type
    Full-Time
  • Overview

    RIA Compliance, the four-person team responsible for implementing and overseeing Commonwealth’s advisory compliance programs, is looking to bring on an excellent communicator and problem solver to serve as a compliance advisor.  In this role, you will be designing—and periodically updating—Commonwealth’s investment advisory compliance systems, policies, procedures, and supervisory controls. You will also be providing ongoing advisory compliance guidance, support, and direction to other Commonwealth business units, advisors, and their staff.

     

    RIA Compliance is part of the larger (85-person) Compliance department. Our team is also responsible for managing and leading compliance efforts to support the RIA Services group, an internal team, which focuses on supporting our fee-only advisors.  Delivering indispensable customer service is essential to everyone’s success.

     

    Key responsibilities

    • Educating and consulting with advisors and staff, as well as Commonwealth employees, on a broad range of investment advisory compliance topics—from policies and procedures to complex client scenarios—both verbally and in writing
    • Building trusting relationships with our financial advisors and their staff
    • Collaborating with other compliance teams, firm departments, and branch office personnel
    • Assisting with the maintenance of compliance manuals that focus on our advisors who operate primarily under SEC regulations
    • Obtaining information from advisors and providing detailed documentation
    • Upholding Commonwealth’s legacy of providing indispensable service—a level of service so satisfying that our advisors would never want to be without us

    Core strengths

    • Demonstrated ability to communicate complex information to advisors and Commonwealth staff
    • Excellent communications skills, both written and verbal; a patient and thorough listener
    • Ability to work as a member of a team
    • Excellent research and problem-solving skills
    • Ability to learn, understand, and apply new information quickly and communicate clearly
    • Intuitive thinker with the innate ability to piece multiple concepts together to resolve complex problems, assess risk, and see the big picture
    • Positive attitude with a strong desire to help others
    • Ability to shift focus, as needed, while maintaining strong attention to detail
    • The aptitude to use a variety of systems and follow procedures

    Additional skills and knowledge

    • At least three years of experience in compliance, preferably investment advisory compliance or financial services
    • Demonstrated knowledge of the Investment Advisers Act of 1940
    • Demonstrated knowledge of the Investment Company Act is a plus

    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.

    Options

    Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
    Share on your newsfeed