Whether you’re looking for a high-energy, inclusive atmosphere or a company that understands the importance of work/life balance, Commonwealth is your match! From generous bonus and 401(k) programs to tuition reimbursement and opportunities for flexible work schedules, Commonwealth is focused on helping its employees thrive in an environment suited to their needs. On top of all that, our Compliance department offers a hybrid work schedule, so you’ll be able to work from home part-time!

We’re looking for a compliance analyst to join our ranks. In this role, you’ll conduct ongoing technology application testing and third-party vendor testing for our Compliance Solutions team. The right candidate will have broad, demonstrated experience in financial services, as well as a passion for gaining knowledge of technology systems.

Key Responsibilities

• Using technical and compliance knowledge to test applications and vendors to ensure continuous adherence to regulatory and firm standards
• Maintaining documentation to support institutional knowledge of technology applications and vendors
• Documenting test plans, results, and remediation efforts
• Investigating and tracking reports of technology issues from business owners and prioritizing reported issues based on regulatory impact and risk exposure
• Communicating with vendor product representatives, internal stakeholders, and subject-matter experts throughout testing, evaluation, and issue resolution
• Collect, analyze, and advocate for automation use cases with the goal of improving compliance efficiencies

Core Strengths and Skills

• Excellent research and problem-solving skills, with exceptional attention to detail
• Outstanding communication skills, both written and oral
• Willingness to stay up to date on evolving industry regulations
• Effective time management, organization, and prioritization skills
• 2+ years of Compliance experience required

Have we piqued your curiosity? Can you see yourself thriving in this opportunity? Let’s introduce ourselves.

Picture Yourself Here

At Commonwealth, we believe in a better world. We hold ourselves and each other to higher standards. We take care of one another. That’s why we invest in you—we encourage employee growth both in your career and education; we are building out a robust diversity, equity, and inclusion program; we offer incredible health care benefits; and we find plenty of occasions to celebrate. What’s not to love?

We are always striving to be better, and we are looking for employees who share that same mindset. Better people, better coworkers, better leaders, better creators. Bring your best work and your full self to the table, and we will do the same. Together, we can build a better future for our advisors, their clients, our company, and you.

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.

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, which has earned us 43 Best Place to Work awards. 

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 talent from all backgrounds.