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.
Additional skills and knowledge
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.