The RIA Compliance team is responsible for proactively engaging and supporting the compliance efforts of Commonwealth’s Registered Investment Adviser (RIA). The compliance advisor role is to provide consultative guidance to RIA advisors who maintain their own programs. A successful candidate will have experience within the financial services industry (i.e., working for a broker/dealer or RIA), be self-motivated, and enjoy working independently and problem-solving in a fast-paced team environment.
We are seeking a compliance professional to join our Consulting Support team. The ideal candidate will be well versed in the requirements of the Investment Advisers Act of 1940 and state investment advisor regulations, as well as comfortable providing informed, commonsense guidance to the firm’s supported independent investment advisors. This role will work closely to build and enhance compliance consulting services for Commonwealth’s RIA and providing compliance consulting support to advisors with independent RIAs.
The RIA Compliance team is also responsible for supporting the firm’s advisory compliance programs; designing and periodically updating investment advisory compliance systems, policies, procedures, and supervisory controls; and providing ongoing advisory compliance guidance and support to other Commonwealth business units and to advisors and their staff, as needed.
Additional Skills and Knowledge
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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!
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
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Commonwealth is an equal opportunity employer, making intentional efforts to source the very best talent from all backgrounds.