Commonwealth Financial Network

Compliance Administrator

Job Locations US-CA-San Diego
Job ID
SD/W-2021-SF
# of Openings
1
Category
Compliance
Type
Permanent/ Full-Time

Overview

Are you bright, motivated, and looking to begin your securities industry career? If so, you we may have the perfect fit for you!

 

In this role, you will work directly with our financial advisors and home office staff to help interpret and apply state, federal, and other rules and regulations governing the securities industry. Having a strong desire to learn, the ability to handle multiple projects in a fast-paced and dynamic work environment, and a close attention to detail will be key to your success.

 

Key Responsibilities 

  • Collaborating with and providing support to our internal Compliance teams, departments across the firm, advisors, and their staff
  • Assisting in tracking and analysis of regulatory reporting requirements
  • Conducting general compliance functions and assisting with special projects
  • Processing a high-volume of data entry

 

Core Strengths 

  • Aptitude with multiple systems and procedures
  • Ability to communicate complex information to advisors and Commonwealth staff
  • Growth-oriented, both personally and professionally; interested in a securities industry career
  • Excellent listening and communications skills, both written and verbal
  • Ability to work as a team player, as well as independently
  • Excellent research and problem-solving skills
  • Quickly learns, understands, and applies new information
  • Positive and respectful attitude; a strong desire to help others
  • Multitasker who is extremely detail-oriented; can prioritize and manage time effectively

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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