Commonwealth Financial Network

Compliance Associate, Compliance Consulting Team

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

Overview

Are you a bright, motivated individual interested in developing a career in the securities industry? As a compliance associate at Commonwealth, you will join our Compliance Consulting team, a unit within the larger Compliance department, and play an essential role in keeping our operation running smoothly. The right person will provide indispensable team support, pay attention to all the details, and consistently meet deadlines.

 

Key responsibilities 

  • Educating and consulting advisors and their staff, as well as Commonwealth employees, on a broad range of compliance topics, from compliance policies and procedures to complex client scenarios, verbally and in writing
  • Collaborating with other Compliance teams, firm departments, and branch office personnel
  • Evaluating client reimbursement requests and proposed gifts to clients in accordance with compliance procedures, and communicating the firm’s decision with respect to such requests
  • Analyzing advisor-created client reports to ensure that required supporting documentation is on file, in accordance with compliance policies and procedures
  • Sending timely communications to obtain information from advisors on a regular basis, as well as documenting this information
  • Conducting a variety of general compliance functions in support of the Compliance Consulting team
  • Assisting with special projects, as needed
  • Upholding Commonwealth’s legacy of providing indispensable service by building relationships with our financial advisors and their staff and consistently providing an exceptional experience

Core strengths 

  • Multitasker who is extremely detail-oriented
  • Aptitude to use multiple systems and follow various procedures
  • Proficiency with Microsoft Office applications
  • Excellent listening and communications skills, both written and verbal
  • Ability to work as a member of a team
  • Excellent research and problem-solving skills
  • Ability to learn, understand, and apply new information quickly and communicate clearly
  • Intuitive thinker with the innate ability to piece multiple concepts together to resolve complex problems, assess risk, and see the big picture
  • Positive attitude with a strong desire to help others

Additional skills and knowledge

  • 1–2 years of compliance or financial services experience
  • FINRA Series 7 securities registration required; Series 24 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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