If you’re looking for a high-energy, inclusive atmosphere and 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 flexible work schedules, Commonwealth is focused on helping its employees thrive in an environment suited to their needs. On top of all that, the RIA Solutions department offers a hybrid work schedule, so you’ll be able to work from home for part of the week!

We’re looking for a compliance administrator to join our ranks. Your role will be essential in keeping our operation running smoothly. The right person will provide indispensable team support, pay attention to all the details, and consistently meet deadlines.

Key Responsibilities

• Educating and consulting advisors and staff, as well as Commonwealth employees, on a broad range of compliance topics, from compliance policies and procedures, verbally and in writing 
• Ability to track and follow up on high volumes of cases. 
• Providing phone queue support for general compliance and licensing-related inquiries by advisors and home office staff 
• Building relationships with our financial advisors and their staff by consistently providing the highest level of service 
• Conducting written and verbal inquiries  
• Working on exception-based reports designed to monitor the activities of affiliated advisors and their staff 
• Assisting in tracking and analyzing regulatory reporting requirements
• Assist in the input of trade data from associated persons outside brokerage accounts. 
• Conducting a variety of compliance functions in support of the Compliance Operations team 
• Identifying and escalating issues to Compliance Operations management, as well as proactively offering recommendations and solutions to address them 
• Seeking out process inefficiencies with the Compliance Operations management team and proactively suggesting technological or operational improvements, as well as a plan for implementing them 
• Upholding Commonwealth’s legacy of providing indispensable service to advisors and their staff 

Core Strengths and Skills

• Excellent listening and communications skills—written and verbal
• Strong attention to detail
• Excellent research and problem-solving skills
• Highly self-motivated
• Ability to learn, understand, and apply new information quickly and communicate clearly
• Intuitive thinker with the innate ability to piece multiple concepts together to resolve complex problems, assess risk, and see the big picture
• Positive attitude, with a strong desire to help others

Additional Skills and Knowledge

• 1–2 years of compliance or financial services experience preferred
• Proficiency with Microsoft Office applications

Have we piqued your curiosity? Can you see yourself thriving in this opportunity? 

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 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. Privately held since 1979, the firm has headquarters in Waltham, Massachusetts; San Diego, California; and Blue Ash, Ohio. 

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.