Commonwealth Financial Network

  • Compliance Analyst

    Job Locations US-CA-San Diego
    Job ID
    SD/W-2020-056
    # of Openings
    1
    Category
    Compliance
    Type
    Full-Time
  • Overview

    Do you enjoy putting your creative thinking skills to work solving technical problems? Do you have broad, demonstrated experience in the financial services industry, as well as a passion for understanding how things work and the ability to fix them when they don’t? As a compliance analyst, you’ll have the opportunity to leverage your high level of attention to detail to perform due diligence on our technology systems.

     

    As the Compliance department continues to expand and the number of tools we develop and purchase grow in proportion, it is becoming increasingly important to test our technology to ensure compliance with internal policy and regulatory focus. As a compliance analyst, you will play a key role working alongside the compliance program manager to ensure that Commonwealth’s technology systems operate with limited exposure to regulatory and legal risk.

     

    Key responsibilities

    • Assisting the compliance program manager in evaluating all existing technology applications and managing formal business testing plans to identify areas for improvement in our toolset
    • Working with the QA department, both internally and with vendor partners, to test new applications upon release and ensure that they meet high-level business requirements
    • Investigating reports of bugs within applications and documenting the trail of evidence that leads a user to their problem
    • Serving as an additional planning resource to aid the compliance program manager in designing and implementing new systems
    • Working with various members of the Compliance department to gather and analyze data from the technology platform
    • Ensuring compliance with state and federal regulations in order to decrease the firm’s exposure to regulatory/legal risk

    Core strengths

    • A broad understanding of the financial services industry
    • Confidence to challenge the status quo among colleagues and managers to identify new solutions to existing problems
    • Strong creative-thinking skills to evaluate problems from different perspectives, while keeping an open mind
    • Ability to consistently provide a high level of attention to detail
    • Strong communication skills—both written and oral
    • Effective time management and organizational skills
    • Ability to thrive under complete autonomy and finish projects with limited management involvement
    • A passionate interest in technology systems and/or solving technical problems

    Additional skills and knowledge

    • College degree required
    • 3+ years of demonstrated experience in the independent broker/dealer or Registered Investment Adviser space
    • Testing experience in any arena 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. 

     

    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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