Commonwealth Financial Network

Compliance Associate

Job Locations US-MA-Waltham
Job ID
W/SD-2021-JC
# of Openings
1
Category
Compliance
Type
Permanent/ Full-Time

Overview

Would you describe yourself as motivated and bright? Are you interested in developing your career in the securities industry? If so, the Commonwealth Compliance team is looking for a detail-oriented compliance associate with top-notch communication and customer service skills to support our advertising reviewers and compliance consultants. In this role, you will assist with incoming inquiries from our advisors and internal departments and contribute to various projects and reports.

 

Key Responsibilities

  • Providing ongoing administrative support to the Advertising Review and Compliance Consulting teams, including running various reports to ensure that meeting books and records requirements are fulfilled
  • Educating and consulting advisors and their staff and Commonwealth employees on a broad range of compliance topics, from compliance policies and procedures to complex client scenarios, verbally and written
  • Conducting a variety of general compliance functions in support of the Compliance team and assisting with special projects, as needed
  • Building relationships with our financial advisors and their staff, consistently providing an exceptional experience, and upholding Commonwealth’s legacy of providing indispensable service

Core Strengths

  • Extremely detail-oriented multitasker, able to prioritize and manage time effectively
  • Proven aptitude for using multiple systems following varying procedures
  • Excellent listening and communications skills, both written and verbal
  • Collaborates well with other team members
  • Excellent research and problem-solving skills
  • Ability to learn, understand, and apply new information quickly and clearly
  • Intuitive thinker who can combine multiple concepts to resolve complex problems, assess risk, and see the big picture
  • Positive attitude with a strong desire to help others

Additional Skills and Knowledge

  • FINRA Series 7 securities registration—preferred but not required
  • Willingness to become securities registered
  • 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, 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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