Commonwealth Financial Network

Compliance Advisor, Advertising Review

Job Locations US-MA-Waltham
Job ID
W-2021-195
# of Openings
1
Category
Compliance
Type
Permanent/ 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 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 

  • Strong customer service skills
  • 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
  • Ability to provide thoughtful feedback
  • Creative problem solver
  • Ability to stay up to date on evolving industry regulations and firm policies

Additional Skills and Knowledge 

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

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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