Commonwealth Financial Network

Compliance Advisor, Compliance Operations

Job Locations US-MA-Waltham
Job ID
W/SD-2020-JA
# of Openings
1
Category
Compliance
Type
Full-Time

Overview

Are you a proactive, objective, and analytical problem solver with experience in compliance or in a supervisory role? Do you currently hold FINRA Series 7 and 24 securities registrations? As a compliance advisor on our Compliance Operations team, you will understand the balance between delivering top-notch customer service and following rules and regulations set forth by the SEC, FINRA, MSRB, and individual states.

 

In this role, you will use your meticulous attention to detail working on exception-based reports, reviewing outside business activities, as well as a broad scope of compliance-related assignments. If you believe you have the ability to influence others to achieve positive outcomes, let’s talk.

 

Key responsibilities

  • Cultivating exception-based reports designed to monitor the personal trading of associated persons
  • Reviewing outside business activities and personal private securities transactions of associated persons
  • Developing training and education materials on outside business activities, private securities transactions, and industry regulations for associated persons, including development of web-based guidance resources
  • Providing phone queue support for general compliance and licensing-related inquiries by advisors and home office staff
  • Reviewing and approving advisors for affiliation with the firm
  • Conducting written and verbal inquiries of associated persons’ activities relating to the review of outside and firm-based activities
  • Identifying and discussing process inefficiencies with Compliance Operations management while proactively suggesting technological and operational improvements, as well as a plan for implementing them
  • Educating and consulting advisors and staff, as well as Commonwealth employees, on a broad range of compliance licensing topics, from policies and procedures to rules and regulations, verbally and in writing

Core strengths

  • Demonstrated understanding of broker/dealer and RIA regulations, investment advisory services, securities products, and trading strategies
  • Knowledge and experience reviewing outside business activities and private securities transactions of associated persons for compliance with industry regulation and risk management
  • Strong analytical, quantitative analysis, investigative, and problem-solving skills
  • Ability to consistently provide a high level of attention to detail
  • Demonstrated ability to communicate complex information to advisors and in-house staff, in writing and in oral presentations
  • Ability to influence others to achieve positive outcomes
  • Effective time-management and organizational skills
  • Ability to work well independently in a fast-paced position

Additional skills and knowledge

  • FINRA Series 7 and 24 securities registrations a must
  • At least 3 years of experience in compliance or in a supervisory role; prior experience in audit, surveillance, licensing, or branch office supervision beneficial
  • Prior experience with risk identification, assessment, and mitigation, or other experiences in identifying possible conflicts or other issues creating risk, strongly desired

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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