Commonwealth Financial Network

  • Compliance Administrator, Supervisory Controls Unit

    Job Locations US-MA-Waltham
    Job ID
    W-2020-093
    # of Openings
    1
    Category
    Compliance
    Type
    Full-Time
  • 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 administrator.

     

    Our Supervisory Controls Unit, a team within the larger Compliance department, consists of compliance professionals who test and verify the procedures utilized throughout Commonwealth to remain in compliance with regulatory obligations. The role of compliance administrator is essential in keeping our operation running smoothly. Each day, you will provide indispensable team support, pay excellent attention to all the details, and be deadline driven. A desire to learn Commonwealth’s business model and the testing process, obtain industry licenses, and potentially grow into a compliance advisor career path is valued in potential candidates.

     

    Key responsibilities 

    • Providing ongoing support to the Supervisory Controls Unit to execute an effective and efficient testing program, such as confirming data is accurate prior to a test
    • Preparing documentation that is analyzed during the pretesting process, including researching relevant desktop procedures, obtaining regulatory updates, and gathering information from internal systems
    • Assisting with the management and retention of confidential documentation by ensuring that the evidence of the testing process is memorialized in the required format and systems
    • Working on various projects in support of the Supervisory Controls Unit, such as updating resources surrounding policy, procedural, or industry changes
    • Communicating with other Compliance teams and departments around the firm regarding policy, procedures, and educational resources to support their success

    Core strengths 

    • Strong attention to detail
    • Highly motivated
    • Growth oriented, both personally and professionally
    • Ability to work within both 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

    Additional skills and knowledge

    • A willingness to acquire the FINRA Series 7 securities registration
    • Working knowledge of Microsoft Office basics (e.g., Word, Excel, Access)

    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. 

     

    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.

     

    Commonwealth Financial Network® is an equal opportunity employer that is committed to a diverse workforce. 

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