Commonwealth Financial Network

  • Compliance Associate, RIA Compliance

    Job Locations US-MA-Waltham
    Job ID
    W-2019-044
    # of Openings
    1
    Category
    Compliance
    Type
    Full-Time
  • Overview

    Are you bright and motivated? Interested in developing your career in the securities industry? RIA Compliance is a small, but growing, team within our larger (85-person) Compliance department—and we are looking to bring on a compliance associate with a year or two of experience, either in compliance or in the financial services industry.

     

    Our environment is fast-paced and complex. In this role, you will be essential to keeping our operation running smoothly. The ability to provide indispensable team support, pay attention to all the details, and consistently meet deadlines is a must.

                                                              

    Key responsibilities

    • Providing ongoing support to the RIA Compliance team, home office staff, and financial advisors
    • Assisting RIA Compliance with educating and consulting 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
    • Assisting with maintenance of compliance manuals that focus on our advisors who operate primarily under SEC (Securities and Exchange Commission) regulation
    • 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

    • 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

    • 1–2 years of compliance or financial services experience
    • Experience with both the Investment Advisers Act of 1940 and the Investment Company Act of 1940 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.

     

    We care about your online safety as a prospective employee and encourage you to exercise caution when responding to job postings online. Commonwealth Financial Network® will never ask potential hiring candidates to pay or transfer funds as a precondition of interviews or employment, nor will we authorize recruiters or agents to do so on our behalf.

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