Commonwealth Financial Network

Compliance Consultant, RIA Compliance

Job Locations US-CA-San Diego
Job ID
# of Openings
Permanent/ Full-Time


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.


Key Responsibilities

  • Supporting the RIA consulting services program by designing, monitoring, and assisting in the implementation of compliance programs for SEC and state-registered RIAs in the Commonwealth network
  • Actively supporting the RIA compliance consulting program manager with building and enhancing the compliance consulting program
  • Educating and consulting with advisors and their staff, as well as Commonwealth employees, on a broad range of investment advisory compliance topics, from policies and procedures to complex client scenarios—both verbally and in writing
  • Building relationships with our financial advisors and their staff by consistently providing the highest level of service
  • Collaborating with third-party service providers, as well as other internal Compliance teams and firm departments
  • Assisting with special projects, as needed

Core Strengths

  • Demonstrated ability to clearly articulate complex information to advisors and Commonwealth staff
  • Excellent listening and communications skills, both written and verbal
  • Ability to work as a member of a team
  • Excellent research and problem-solving skills
  • Ability to learn, understand, and apply new information quickly
  • Intuitive thinker with the ability to piece multiple concepts together to resolve complex problems, assess risk, and see the big picture
  • Positive attitude with a strong desire to assist others
  • Multitasker with attention to detail; aptitude to use multiple systems and follow procedure

Additional Skills and Knowledge

  • Three years of experience in financial services (preferably investment advisory compliance)
  • Proficiency with Microsoft Office applications

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, 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 the very best talent from all backgrounds. 


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