Commonwealth Financial Network

Trade Review Principal

Job Locations US-MA-Waltham
Job ID
# of Openings
Direct Investments


Are you knowledgeable about current market conditions? Can you adapt quickly to the industry’s constantly changing rules and procedures? As a trade review principal, you will work in a fast-paced and deadline-driven environment to review transactions and educate our advisors on policies and regulations. The ability to work well independently and handle difficult situations in a professional manner is essential.


Key responsibilities 

  • Conducting suitability review of brokerage transactions involving equities, leveraged and inverse exchange-traded funds, mutual funds, fixed income securities, unit investment trusts, and precious metals
  • Reviewing and approving of trade blotters
  • Notifying advisors when a transaction conflicts with a client’s investment profile
  • Documenting and tracking all advisor responses to trade inquiries
  • Discussing regulatory rules and company policies with advisors
  • Analyzing the suitability requirements for specific client transactions and reviewing them with advisors
  • Working closely with the Trade Desk and Compliance

Core strengths 

  • Excellent written and verbal communication skills
  • Strong attention to detail
  • Detail-oriented with strong analytical and organizational skills
  • Ability to meet deadlines in a fast-paced environment
  • Ability to work well independently and under pressure
  • Proficient in Microsoft Word and Excel

Additional skills and knowledge 

  • Minimum 3 years of experience in the financial services industry
  • FINRA Series 7, 24, 53, and 66 securities registrations required
  • A background in securities, including mutual funds, equities, options, and fixed income products
  • Familiarity with the current regulatory environment as it relates to client suitability in the financial services industry

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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