Commonwealth Financial Network

Compliance Advisor, Advertising Review

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

Overview

Do you have a keen eye for detail and an interest in staying up to date on the ever-changing financial services industry? If so, you might be a great fit for this role as a compliance advisor on the Advertising Review team.

 

On a day-to-day basis, our Compliance department works with home office staff and advisors to ensure that all parties adhere to the state and federal rules and regulations governing the securities industry. Within Compliance, our Advertising Review team is responsible for reviewing all client-facing materials written by our employees, advisors, and third-party sources to ensure that all information is fair and accurate.

 

As a compliance advisor, you will put your FINRA Series 7 and 24 securities registrations and customer service skills to good use as you review advertising submissions from our advisors. You will act as a trusted information source, educating advisors on applicable regulations, policies, and procedures.

 

Key responsibilities 

  • Reviewing and providing feedback on advertising submissions from advisors and corporate marketing to ensure compliance with state and federal regulations, as well as firm policy
  • Serving as a resource and consultant to home office employees and advisors by providing guidance on applicable policies, risks, and regulations, while also working collaboratively to find solutions and offer alternatives
  • Contributing to high-priority projects on an as-needed basis
  • Participating in team discussions on rule and policy interpretation and regularly contributing to process improvements

Core strengths 

  • Ability to consistently apply a high level of attention to detail
  • Excellent communication skills, both written and oral
  • Effective time management and organizational skills; ability to work well independently and adept at conforming to shifting priorities, demands, and timelines
  • Creative problem solver
  • Ability to provide thoughtful feedback
  • Strong customer service skills
  • Willingness to stay up to date on evolving industry regulations

Additional skills and knowledge 

  • 3+ years of compliance or financial services experience
  • An understanding of FINRA and SEC advertising regulations
  • FINRA Series 7 and 24 securities registrations required; option to take additional exams
  • College degree required

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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