Commonwealth Financial Network

Advisory Operations Platform Principal

Job Locations US-MA-Waltham
Job ID
W/SD-2021-JC
# of Openings
1
Category
Account Supervision
Type
Permanent/ Full-Time

Overview

Over the last decade, the financial services industry has trended toward advisory business, and there are now more channels in which advisors can facilitate business (RIA-Only, IAR-Only, hybrid, etc.). Currently, more than half of our revenue comes from advisory business, and this number is only expected to grow. As an Advisory Operations Platform Principal, you will use your ability to adapt quickly to this industry’s constantly changing rules and your complex advisory products knowledge to improve relevant operational workflows and creating educational deliverables.   

 

Key responsibilities 

  • Ensuring that investment advisor regulations are being followed and any new regulations are implemented, as needed
  • Educating in-house staff and advisor offices to ensure they are fully aware of all advisory programs available, as well as how to facilitate business through them
  • Collaborating with Operations, Wealth Management, and Compliance to ensure that advisory regulation, programs, and platform resources are accurate and available
  • Processing third-party advisory business
  • Identifying and implementing process improvements to increase operational efficiency between departments

 Core strengths 

  • Excellent written and verbal communication skills
  • Strong attention to detail
  • FINRA Series 7, 24, and 66 securities registrations required 
  • 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

Have we piqued your curiosity? Can you see yourself thriving in this opportunity? Let’s introduce ourselves. 

 

Picture Yourself Here 

Imagine keeping company with big thinkers and even bigger doers who share a common purpose to make a profound difference. Figure in an experience-it-to-believe-it culture, massive growth potential, and benefits galore, and you get the full impression.  

We are committed to providing a supportive, equitable environment where you can bring your full, authentic self to your work every day and truly thrive in meaningful ways. Where you can be yourself and belong. Where you can build a career and find community. 

At Commonwealth, everyone plays a part in our success story—and in building a more diverse and inclusive workplace, we are broadening our perspectives and capabilities. Together, our potential is limitless. Come join us on the pathway to a brighter future! 

 

About Commonwealth 

Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide.

J.D. Power ranks Commonwealth “#1 in Independent Advisor Satisfaction Among Financial Investment Firms, Seven Times in a Row.” Privately held since 1979, the firm has headquarters in Waltham, Massachusetts, and San Diego, California. 

 

Turning our advisors into raving fans starts by doing the same for our employees. We foster an environment of excellence, growth, rewards, and fun in equal measure, so our employees genuinely enjoy coming to work. Our refreshing workplace culture has earned us 43 Best Place to Work awards—and counting.  

 

The Fine Print 

We care about your online safety as a prospective employee and encourage you to exercise caution when responding to job postings online. Commonwealth 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 is an equal opportunity employer, making intentional efforts to source candidates from all backgrounds.  

 

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