Commonwealth Financial Network

  • Transfer of Assets Analyst

    Job Locations US-CA-San Diego
    Job ID
    # of Openings
    Transfer of Assets
  • Overview

    Our Transfer of Assets department is the strong and steady, hard-working yet fun team that is responsible for all account transfers into and out of Commonwealth. Our team of 22, which spans both coasts, is a blend of deep tenure and newer recruits. We’re driven by attention to detail and following policies, procedures, and regulations to a T—all the while providing Commonwealth’s signature level of indispensable service.


    We are looking for a self-motivated and customer service-oriented team player. The right candidate will be someone who will quickly earn the trust and respect of our advisors, as well as his or her coworkers.


    Key responsibilities 

    • Reviewing and processing requests for incoming transfers
    • Communicating with advisors’ offices to resolve NIGOs, as well as any issues that arise along the transfer life cycle
    • Logging detailed notes and applying statuses to pending incoming transfers
    • Communicating with our clearing firm (NFS), as well as many different delivering firms to troubleshoot transfer issues
    • Serving as an informational resource for our Service Center, advisors, and their staff via queue calls and emails
    • Continuously triving to improve our internal processes

    Core strengths 

    • A strong commitment to accuracy, details, and logical decision making
    • Superb analytical abilities and problem-solving skills
    • A keen eye for process improvements and quality assurance
    • Excellent verbal and written communication skills, as well as listening skills
    • Organized, patient, positive, and ambitious
    • Deadline driven
    • Proficient with Microsoft Word and Excel
    • Experience working with financial advisors or in an advisory firm a plus
    • FINRA Series 7 registration a plus
    • A desire to work for a department with a culture all its own at a company that prides itself on providing indispensable customer service

    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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