Commonwealth Financial Network

Advisory Operations Consultant, RIA Services

Job Locations US-MA-Waltham
Job ID
W-2021-182
# of Openings
1
Category
RIA Services
Type
Permanent/ Full-Time

Overview

As the financial services industry continues to evolve, Commonwealth remains committed to its legacy of providing indispensable service: a level of service so satisfying that our customers would never want to be without us. To support this legacy for our fee only and hybrid advisors,  We are seeking a candidate  for the role of advisory operations consultant, RIA services.

 

Your focus will be on supporting advisors who are interested in, or fully established under, our hybrid, corporate RIA, and independent RIA affiliation models. Put your extensive knowledge of the financial services industry and superb problem-solving and analytical skills to work answering the myriad of questions that our advisors face as they continue to evolve their practices toward fee-only models, while developing a deep understanding of their unique characteristics. If you are up to the challenge, we want to speak with you!

 

Key Responsibilities:

 

  • Taking a consultative role by managing key and assigned fee-only practices
  • Building relationships with our financial advisors and their staff by consistently providing the highest level of customer service; this includes serving as a first point of contact by answering incoming phone calls to strategically identify and resolve critical client issues and inquiries
  • Educating callers on a broad range of operational topics, from account establishment and asset movement inquiries to more complex tax-reporting questions
  • Staying abreast of new resources, products, and procedures, as well as industry news and regulations affecting fee-only practices
  • Collaborating with various internal operations teams across the firm to research and resolve complicated issues
  • Assisting other RIA Services team members in the process of moving practices into a fee-only affiliation

Core Strengths

 

  • Fiercely intuitive thinker with the innate ability to piece multiple concepts together to resolve complex problems and see the big picture
  • Superb problem-solving and analytical skills
  • Familiarity with the RIA model and fee-based management
  • Outstanding communication, interpersonal, and relationship-building skills

Additional Skills and Knowledge

  • FINRA Series 65 or 66 securities registration, a plus
  • BA or BS degree
  • At least 3 years of experience working with advisors or a financial services firm that engages in advisory business
  • Experience answering questions on operational, technical, and regulatory matters from advisors running a fee-only practice

 

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—personally and professionally. 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. We invite you to join us on the path 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, Eight 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 the very best talent from all backgrounds.

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