Commonwealth Financial Network

Director of Compliance

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

Overview

Are you a leader with excellent analytical and problem-solving skills? Do you pride yourself on providing indispensable service? We are looking for a talented, experienced director to provide leadership and support to our compliance professionals in the Branch Audit, Communications with the Public, Compliance Consulting, Compliance Operations, Licensing, RIA Compliance, and Surveillance teams in our San Diego office.

 

In this role, you will be asked to distinguish and accurately articulate the regulatory differences between broker-dealer and investment advisor rules and regulations on a consistent basis. If you have a strong background in financial services and at least 10 years of broker-dealer and investment advisor compliance experience, we’d love to meet you!

 

Key Responsibilities

  • Serving as a resource and consultant to internal employees and our advisors by providing guidance and support on appplicable firm policies, rules, and regulations
  • Assisting in the creation, modification, implementation, and enforcement of the firm’s various compliance policies, procedures, and associated compliance manuals
  • Setting performance expectations and staff development requirements through coaching, training, and timely feedback
  • Overseeing workflows to ensure service department objectives and timelines are achieved, and helping to ensure consistency, accuracy, and efficiency
  • Researching and resolving issues in a timely and professional manner
  • Aligning team objectivities and priorities with those of the department and firm
  • Providing ongoing guidance, support, and direction to other business units about compliance matters
  • Ensuring that our firm’s broker-dealer and investment advisor activities remain in compliance with applicable SEC and state rules and regulations, including the requirements of the Investment Advisers Act, Securities Exchange Act, Securities Act, and FINRA rules, as applicable
  • Delivering timely guidance on the rulemaking process, relevant enforcement actions and no-action letters, regulatory exam priorities, and compliance best practices
  • Exercising knowledge, reasonable judgment, and creative thinking in your work while operating within the confines of applicable rules and regulations

Core Strengths

  • Strong conceptual, analytical, and strategic thinking skills
  • Adept at working with shifting priorities, demands, and timelines
  • Exceptionally detail oriented
  • Strong written and verbal communication skills
  • Established coaching and development skills
  • Effectively and collaboratively works across all levels and business units
  • Decisive and solution-oriented

Additional Skills and Knowledge

  • FINRA Series 7, 24, 65, and 66 licenses
  • 10+ years of compliance experience
  • Previous management or supervisory experience
  • Previous experience in broker-dealer and investment advisor models (including advertising review and surveillance functions)

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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