Commonwealth Financial Network

General Investigations Specialist

Job Locations US-CA-San Diego
Job ID
SD/W-2020-AB
# of Openings
1
Category
General Investigations
Type
Full-Time

Overview

Do you have a passion for problem solving? Is your commitment to customer service top notch? Do you hardly break a sweat when juggling multiple tasks and keeping details straight? If so, then you’ll fit right in on our General Investigations team.

 

General investigations specialists work closely with a variety of operational departments within the firm including our Service Center, which fields a broad range of operational inquiries from Commonwealth advisors and their staff. The position varies from processing Periodic investment plans (dollar cost average plans), non-purpose loans, and mutual fund conversions to researching advisor inquiries related to tax, cost basis, and mutual fund share class options.

 

Key responsibilities 

  • Researching tax- and cost basis-related inquiries
  • Processing, reviewing, and researching mutual fund share class conversions
  • Working with our clearing firm National Financial Services, mutual fund sponsors, and loan companies to resolve questions and complications
  • Acting as a lifeline for our Service Center
  • Establishing and updating periodic investment plans/dollar cost average plans
  • Running and reviewing reports for our mutual fund sponsors
  • Identifying and communicating with management to improve internal processes and procedures

Core strengths 

  • Dedication to providing excellent customer service
  • Strong attention to detail
  • Ability to excel in a team environment and work independently
  • Strong verbal and written communication skills
  • Comfortable in a fast-paced, dynamic environment
  • Strong time management and organizational skills
  • Superb problem-solving skills
  • Proficient in Microsoft Office applications
  • At least one year of experience in financial services
  • FINRA Series 7 registration 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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