Commonwealth Financial Network

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Job Locations US-CA-San Diego
Are you an accomplished and experienced leader? Do you understand investment advisory and broker/dealer advertising rules and regulations? We are looking for a compliance supervisor to support our bicoastal Advertising Review team with reviewing advertising, sales, and promotional materials, as well as other written and electronic communications distributed by Commonwealth’s financial advisors and internal teams.   As supervisor, you will report to the advertising review manager. You will act as a subject-matter expert, lead team projects and initiatives, assist with staff development and training, and help ensure that the team’s review processes meet regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance.    Key Responsibilities - Reviewing financial planning reports, sponsor materials, and performance-related content - Monitoring ongoing regulatory actions and market changes to ensure that team members are conducting reviews with the most up-to-date industry knowledge - Assessing the effect of regulatory changes across FINRA, the SEC, and state regulatory agencies and working with management on policy and procedure development - Setting performance expectations for staff and promoting ongoing development through training, feedback, and growth opportunities - Evaluating existing procedures to ensure a consistent process with ongoing, team-wide adherence to applicable policies and procedures - Ensuring that our firm’s investment advisory and broker/dealer advertising and communications review policies and procedures remain in compliance with applicable SEC, FINRA, and state rules and regulations - Serving as an escalation point and subject-matter expert for both internal colleagues and affiliated financial advisors and their staff Core Strengths - Deep knowledge of FINRA and SEC advertising and marketing rules - Understanding of performance advertising rules and their application to dual registrant and RIA-only affiliated advisors - Ability to solve complex problems, assess risks, and offer solutions based on applicable rules and regulations, firm policies, and regulatory interpretive guidance - Adept at reading, analyzing, and interpreting general business publications, professional journals, technical procedures and statutes, and rules and regulations of applicable regulatory and self-regulatory organizations - Detail oriented and decisive - Exceptional ability to provide indispensable service through solution-oriented decision-making, and timely, accurate processing of requests - Flexibly manages shifting priorities, demands, and timelines - Excellent listening, writing, relationship building, coaching, and communication skills - Effectively works and communicates across all levels of the organization Additional Skills and Knowledge - Experience with investment advisory and broker/dealer advertising - FINRA Series 7 and 24 securities registrations - 5+ years of compliance experience - Previous leadership experience 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.
Job ID
SD/W-2021-AK
Job Locations US-MA-Waltham
Do you enjoy writing clear and compelling content that educates audiences on financial topics? Do you also have the magic touch for persuading audiences to engage with a brand in a targeted way? If so, we’re looking for a dynamic professional to join our Advisor Marketing team, write client-facing library content for our advisors, and create product marketing materials that help promote our brand.   Our ideal candidate is passionate about writing for digital platforms, including email and social media, and skilled at collecting information from various sources—written, interviews, and research—to craft original and engaging content. In this role, you will have exciting opportunities to work with product leadership, project managers, and content strategists in Marketing, as well as subject-matter experts (SMEs) across our firm.   Key Responsibilities - Working with cross-functional team members to identify key messages and develop content - Presenting concepts to SMEs and leadership for development and approval - Editing and consolidating content sources for publication - Rewriting B2B content for a B2C audience - Creating content for a variety of channels (e.g., articles, brochures, video scripts, social media and web content, email communications, and white papers) - Composing daily topical social media posts and overarching social media campaigns - Implementing SEO best practices for written content when necessary - Coordinating and managing multiple creative projects Core Strengths - Enthusiastic proponent of good writing standards and practices across multiple channels; keen awareness of appropriate tone and content - Exceptional listening skills and emotional intelligence - Creative, with an ability to think outside the box - Proven track record of managing and prioritizing multiple projects with competing deadlines - Ability to work collaboratively Additional Skills and Knowledge - Bachelor’s degree in marketing, communications, literature, journalism, or related field - 5+ years of B2C writing experience - Familiarity with the financial services industry - Demonstrated ability to write effective communications - Ability to work in a fast-paced environment - Understanding of content management systems - Working experience with creative agencies preferred - Knowledge of the Chicago Manual of Style a plus Samples Requested - 3 client-focused B2C writing samples (e.g., blog posts, social copy, or email communications) 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.
Job ID
W-2022-003
Job Locations US-CA-San Diego
Are you ready to take your knowledge of the Customer Identification Program (CIP) processes and procedures to the next level? Are your attention to detail and investigative skills top-notch? As a CIP associate, you will support the Anti-Money Laundering (AML) Office by providing thoughtful client identification research and review.   You will work closely with team members and Commonwealth’s advisors to resolve any discrepancies and provide excellent supervision and indispensable service. You will help ensure that resources are kept up to date with regulatory and procedural changes and effectively communicate these updates to the AML Office and other business units.     Key responsibilities  - Performing daily identity verification using various systems/tools and documenting results - Interpreting company policy and procedures pertaining to CIP and Office of Foreign Assets Control (OFAC) review and keeping up to date on regulations - Working with the AML/Legal team when necessary to report and resolve escalations - Acting as a resource to the AML Office in understanding CIP/OFAC compliance requirements and how they affect the team’s opening and maintenance process - Conducting enhanced due diligence for customers who are flagged for CIP further review, following our AML Office CIP standard operating procedures - Identifying and escalating deficiencies to the senior CIP associate and/or AML manager, as well as proactively offering recommendations and solutions to enhance the CIP program within the AML Office - Assisting with quality review of processed CIP cases and educating AML associates on best practices - Assisting in preparation for internal or external CIP/Identity Theft Prevention Program audits and examinations - Reviewing and contributing to CIP training materials for staff, as well as updating CIP workflow procedures, as needed - Assisting with AML case processing, as needed Core strengths  - Possess a positive, approachable, team-first attitude - High level of attention to detail with a focus on accuracy - Advanced decision-making aptitude - Strong oral and written communication skills - Ability to work independently and within a team Additional skills and knowledge  - Certified Anti-Money Laundering Specialist (CAMS) certification or ability to obtain other relevant KYC certifications within 1 year of joining Commonwealth - 1+ years of experience in evaluating CIP requirements, audit program development, internal control consulting, or risk management a plus - SIE and FINRA Series 6 and 7 securities registrations preferred but not required 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. 
Job ID
SD/W-2022-002
Job Locations US-MA-Waltham
Are you ready to take your knowledge of the Customer Identification Program (CIP) processes and procedures to the next level? Are your attention to detail and investigative skills top-notch? As a CIP associate, you will support the Anti-Money Laundering (AML) Office by providing thoughtful client identification research and review.   You will work closely with team members and Commonwealth’s advisors to resolve any discrepancies and provide excellent supervision and indispensable service. You will help ensure that resources are kept up to date with regulatory and procedural changes and effectively communicate these updates to the AML Office and other business units.     Key responsibilities  - Performing daily identity verification using various systems/tools and documenting results - Interpreting company policy and procedures pertaining to CIP and Office of Foreign Assets Control (OFAC) review and keeping up to date on regulations - Working with the AML/Legal team when necessary to report and resolve escalations - Acting as a resource to the AML Office in understanding CIP/OFAC compliance requirements and how they affect the team’s opening and maintenance process - Conducting enhanced due diligence for customers who are flagged for CIP further review, following our AML Office CIP standard operating procedures - Identifying and escalating deficiencies to the senior CIP associate and/or AML manager, as well as proactively offering recommendations and solutions to enhance the CIP program within the AML Office - Assisting with quality review of processed CIP cases and educating AML associates on best practices - Assisting in preparation for internal or external CIP/Identity Theft Prevention Program audits and examinations - Reviewing and contributing to CIP training materials for staff, as well as updating CIP workflow procedures, as needed - Assisting with AML case processing, as needed Core strengths  - Possess a positive, approachable, team-first attitude - High level of attention to detail with a focus on accuracy - Advanced decision-making aptitude - Strong oral and written communication skills - Ability to work independently and within a team Additional skills and knowledge  - Certified Anti-Money Laundering Specialist (CAMS) certification or ability to obtain other relevant KYC certifications within 1 year of joining Commonwealth - 1+ years of experience in evaluating CIP requirements, audit program development, internal control consulting, or risk management a plus - SIE and FINRA Series 6 and 7 securities registrations preferred but not required 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. 
Job ID
W/SD-2022-002
Job Locations US-MA-Waltham
When a Commonwealth advisor decides to buy, sell, or merge a practice, our Business Transitions team ensures that the entire process runs smoothly. We do this by collaborating with teams across the firm, building a strong relationship with advisors that fosters trust, open communication, and acting as the primay liaison between the advisor’s office and Commonwealth’s other departments.   To help us deliver on our promise to provide a truly indispensable business transition experience for our advisors, we are looking for someone who is outgoing, self-motivated, and exceptionally detail oriented.   Key Responsibilities  - Consulting with advisors in the event of a major change, such as retirement or a buyout, to help them manage the transition of their business - Acting as the relationship manager and quarterback throughout the entire transition process - Coordinating business transition action items with a 50-person, cross-departmental team - Answering questions on a wide variety of topics, such as operations, compensation, compliance, and licensing - Consulting on business transition structures for operational feasibility - Acting as the first point of escalation for advisors and their staff - Coordinating conference calls with advisors and internal staff to discuss all details of a business transition - Educating advisors and their staff throughout the business transitions process - Participating in and leading a variety of departmental projects Core Strengths  - Excellent attention to detail and keen problem-solving skills - Superior leadership, process auditing, and organizational skills - Adept multitasker who’s comfortable with reprioritizing tasks - Strong, professional communication skills, both written and verbal - Commitment to providing indispensable customer service - Team player with a patient, empathetic, and supportive attitude - Comfortable in a fast-paced, dynamic environment Additional Skills and Knowledge  - 3–5 years of financial services experience - FINRA Series 7 securities registration a plus 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. Where you can be yourself and belong. Where you can build a career and find community.      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. Come join us on the pathway 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 candidates from all backgrounds.   
Job ID
W-2022-GS
Job Locations US-MA-Waltham
Do you have a graphic design background and enjoy detail-oriented work? If so, we are looking for an experienced professional to play a primary role in designing Commonwealth’s proprietary marketing collateral library. Your expertise will be used to reimagine our content design, scale collateral, and create new pieces for our advisors to use when communicating with clients and prospects.   In this role, your ability to provide differentiated marketing collateral—with attention to our design templates—will be key. In addition, you will have exciting opportunities to collaborate with marketing content team members and ensure the success of our advisor marketing goals. Our ideal candidate will have strong typographic and layout skills, a solid understanding of brand standards, strict attention to detail, and outstanding organizational, project management, and archiving skills. This role also requires creative problem-solving abilities and solid technical know-how.   Key Responsibilities - Designing marketing library materials, including PDFs, PowerPoints, emails, and standalone graphics - Executing the content template process for a distributed marketing platform (includes blocking templates for personalized fields) - Using light coding skills to manage meta descriptions, creating thumbnails, and uploading finished pieces to the platform - Managing templates that meet printing specification requirements - Coordinating the successful completion of assigned projects in a fast-paced environment - Ensuring that content issues are escalated and resolved quickly and effectively - Using workflow management tools and quality control methods - Providing insights, ideas, and process improvement recommendations - Working successfully with cross-functional teams Core Strengths - Understanding of graphic design and the creative process - Applying graphic design knowledge to set up templates that include variable content - Using critical-thinking skills to resolve conflicts, clear blind spots, and anticipate needs during project life cycles - Strong communication, organizational, and analytical skills; detail oriented - Ability to handle multiple projects in a fast-paced environment - A can-do attitude; enjoys accomplishing lengthy project tasks - A natural curiosity to learn more Additional Skills and Knowledge - Expert knowledge of Adobe Creative Cloud - Exceptional product knowledge and deep understanding of production process - Experience working with marketing distribution platforms - Previous experience of HTML and CSS a plus 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.
Job ID
W-2022-001
Job Locations US-CA-San Diego
Our Transfer of Assets department is a hard-working yet fun team responsible for all account transfers into and out of Commonwealth. Our group, which spans both coasts, is driven by attention to detail and following policies, procedures, and regulations to a T—all while providing Commonwealth’s signature level of indispensable service.   We are looking for a self-motivated and customer service–oriented team player. The right candidate will quickly earn the trust and respect of our advisors, as well as his or her coworkers.   Key responsibilities  - Reviewing and processing requests for incoming transfers - Communicating with advisors’ offices to resolve NIGOs, as well as any issues that arise along the transfer life cycle - Logging detailed notes and applying statuses to pending incoming transfers - Communicating with our clearing firm, NFS, as well as many different delivering firms to troubleshoot transfer issues - Serving as an informational resource for our Service Center, advisors, and their staff via queue calls and emails - Striving to constantly improve our internal processes Core strengths  - Strong commitment to accuracy, details, and logical decision making - Superb analytical abilities and problem-solving skills - Keen eye for process improvements and quality assurance - Excellent verbal and written communication skills, as well as listening skills - Organized, patient, positive, and ambitious - Deadline driven - Proficient with Microsoft Word and Excel - Experience working with financial advisors or in an advisory firm a plus - FINRA Series 7 registration a plus - Desire to work for a department with a culture all its own at a company that prides itself on providing indispensable customer service 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. Where you can be yourself and belong. Where you can build a career and find community.   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. Come join us on the pathway 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 candidates from all backgrounds.
Job ID
SD/W-2021-PM
Job Locations US-CA-San Diego
Within the Compliance department, our focus is on following the rules and regulations set forth by the SEC, FINRA, MSRB, NFA, and individual states. But a top-notch approach to customer service and communication is equally important. Do you count your communication and problem-solving skills at the top of your list of strengths? Do you have a year or two of compliance or financial services experience under your belt, as well as a few key FINRA securities registrations?   Our Compliance Consulting team, a unit within the larger Compliance department, is looking to bring on a team member who can comfortably and confidently strike the balance between delivering indispensable service and helping our affiliated financial advisors stay compliant.    Key Responsibilities  - Responding to phone and written inquiries from our advisors, as well as from home office staff, regarding Commonwealth policies and procedures and industry rules and regulations - Reviewing communications with the public (e.g., correspondence) to ensure adherence to regulations and firm policies - Completing a variety of general compliance projects, such as drafting internal communications, presenting at firm conferences, conducting continuing education teleconferences, performing data analysis, and other tasks as assigned Core Strengths  - Ability to consistently apply a high level of attention to detail - Excellent communication skills, both written and oral - Strong customer service skills - Willingness to stay up to date on evolving industry regulations - Proficiency with Microsoft Office applications - Ability to work as a member of a team - Excellent research and problem-solving skills Additional Skills and Knowledge  - 1–2 years of compliance or financial services experience - FINRA Series 7 and 24 securities registrations - FINRA Series 53 securities registration preferred or ability to obtain it within six months of employment 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.
Job ID
SD-2021-MR-EXTERNAL
Job Locations US-MA-Waltham
Our Technology Consulting team is looking to bring a consultant into the fold. In addition to the requisite technical knowledge, our ideal candidate will also have a natural ability for delivering indispensable customer service. An outgoing personality balanced with a calm, can-do demeanor is a must for this position.   Key responsibilities  - Installing and configuring on-site and remote small business networks, including hardware and software firewalls - Providing a top-notch customer service experience that leaves a lasting positive impression while working with financial advisors who are transitioning their business to Commonwealth - Maintaining constant communication with our end users to help Commonwealth advisors make smart, strategic use of their technology solutions - Organizing and analyzing information, processes, and research that will best serve our advisors’ technology needs - Thinking through problems creatively—not just looking at by-the-book solutions - Using Commonwealth resources to quickly get users back to work - Providing back-end support to offices going through a consultation Core strengths  - An attitude of adaptability and flexibility - Comfortable working in a fast-paced environment with constant changes - A good operational understanding of brokerage houses and financial advisory business - Excellent written, verbal, and presentation skills, with the ability to facilitate meetings - Detail oriented; ability to multitask and meet deadlines - Comfortable working independently, but also a team player - Strong computer skills and the ability to learn new applications Additional skills and knowledge  - At least 3 years of experience working in the technology field - Experience working with small business owners and configuring and troubleshooting small business networks (on-site and remote) - Customer service experience in a financial services environment is a plus - Experience with DNS, VPN, Microsoft Exchange, Microsoft Windows and Microsoft 365, Microsoft Visio, Check Point firewalls, Mac OSX, mobile devices, and day-to-day office technology solutions (e.g., printers, scanners, computers) - Synology DSM and Zscaler knowledge is a plus - In touch with technology trends and what’s new 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.
Job ID
W-2021-211
Job Locations US-CA-San Diego
Do you have a keen eye for detail and an interest in staying up to date on the ever-changing financial services industry? If so, you might be a great fit as a compliance advisor on the Advertising Review team.   On a day-to-day basis, our Compliance department works with home office staff and advisors to ensure that all parties adhere to the state and federal rules and regulations governing the securities industry. Within Compliance, our Advertising Review team is responsible for reviewing all client-facing materials written by our employees, advisors, and third-party sources to ensure that all information is fair and accurate.   As a compliance advisor, you will put your FINRA Series 7 and 24 securities registrations and customer service skills to good use as you review advertising submissions from our advisors. You will act as a trusted information source, educating advisors on applicable regulations, policies, and procedures.   Key Responsibilities  - Reviewing and providing feedback on advertising submissions from advisors and corporate marketing to ensure compliance with state and federal regulations, as well as firm policy - Serving as a resource and consultant to home office employees and advisors by providing guidance on applicable policies, risks, and regulations, while also working collaboratively to find solutions and offer alternatives - Contributing to high-priority projects on an as-needed basis - Participating in team discussions on rule and policy interpretation and regularly contributing to process improvements Core Strengths  - Strong customer service skills - Ability to consistently apply a high level of attention to detail - Excellent communication skills, both written and oral - Effective time management and organizational skills; ability to work well independently and adept at conforming to shifting priorities, demands, and timelines - Ability to provide thoughtful feedback - Creative problem solver - Ability to stay up to date on evolving industry regulations and firm policies Additional Skills and Knowledge  - 3+ years of compliance or financial services experience - Understanding of FINRA and SEC advertising regulations - FINRA Series 7 and 24 securities registrations required; option to take additional exams - College degree required 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. Where you can be yourself and belong. Where you can build a career and find community.   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. Come join us on the pathway 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 candidates from all backgrounds.
Job ID
SD-2021-FH
Job Locations US-MA-Waltham
Are you detail oriented, analytical, and passionate about providing service excellence in the financial services industry? If so, we may have the perfect role for you! Our Investment Consulting Services department supports Commonwealth’s advisors with dynamic growth strategies and comprehensive investment solutions for practice services including asset allocation, product implementation, portfolio case design, and approved advisory platforms such as our fee-based Preferred Portfolio Services® (PPS). As part of our team, your expertise will be instrumental in assisting our advisors and helping them implement the right products, tools, and solutions needed for success.   Key Responsibilities - Spending extensive time on the phone consulting with Commonwealth advisors - Responding to advisor inquiries on investment topics and products - Training advisors on Commonwealth’s research tools and services and providing support - Collaborating with other Wealth Management departments (including Research, Advanced Planning, Retirement Consulting and Annuities) for various projects and initiatives - Assisting advisors with portfolio construction and analysis for both existing clients and new business opportunities Core Strengths - Understanding of the broad spectrum of investment-related products and services, including advisory platforms, asset allocation, mutual funds, exchange-traded funds, and separate accounts - Economic and market awareness on current topics, industry trends, and other issues affecting advisors - Strong verbal communication and time management skills Additional Skills and Knowledge - 3 years of financial services experience - FINRA Series 7 and 66 securities preferred and/or additional designations such as ChFC® or CFP® - Bachelor’s degree required - Familiarity with Morningstar® Advisor WorkstationSM or other research software - Extensive presentation experience, both in-person and over video 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.      
Job ID
W-2021-BK
Job Locations US-MA-Waltham
Do you enjoy strategizing and creating a brand’s image? Do you want to work collaboratively with art directors and designers to translate a brand vision into compelling stories across a variety of media? If so, we are looking for a design professional to join our team and promote Commonwealth’s brand and identity.   This role requires conceptualizing and conveying strategic messages into innovative and effective visual communications. As an ideal candidate, you will be a visual storyteller flexible enough to adapt his or her style for key audiences. To be successful in this role, you must have a strong sense of layout, typography, and concept development, as well as the ability to communicate and collaborate with a fast-paced team.   Key Responsibilities  - Applying a strong understanding of interactive best practices for visual design, front-end development, usability, and information architecture - Concepting and designing high-touch interactive initiatives that deliver results for business goals (i.e., templated and one-off websites, landing pages, email marketing communications, infographics, and ads) - Working with cross-functional team members to create outstanding visual solutions that engage and inform - Contributing to the development of digital standards and procedures for the team; sharing knowledge with others - Presenting concepts for approval and engaging in refinement via feedback loops - Navigating the simultaneous production of creative projects Core Strengths  - Enthusiastic proponent of good design standards and practices across multiple channels; keen awareness of appropriate tone and experience - Exceptional listening skills and emotional intelligence - Creative talent with an ability to think outside the box - Proven track record of successfully managing multiple projects with competing deadlines and prioritizing accordingly - Understanding of digital marketing and website UX best practices - Ability to work collaboratively in a fast-paced environment - Communication, organizational, and problem-solving skills Additional Skills and Knowledge  - 5+ years of experience in an ad agency, in-house marketing department, or design studio - Engaging portfolio of work with excellent examples of UX/UI design, print, and digital communication - Motion graphics experience a plus - Expert in Adobe CS, HTML/CSS, and Microsoft Office - Financial industry experience a plus (or equivalent experience in the technology or health care industries) - Experience working with creative agencies preferred - Understanding of print production and file prep a plus; versatile and able to handle occasional print projects, if necessary 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.
Job ID
W-2021-CM
Job Locations US-CA-San Diego
The Cashiering team is a select group of money movement specialists working in a vital operational department. As a brokerage cashier, you’ll be trained in a broad array of transactional functions, from check, wire, and EFT disbursements to stock and check deposits, as well as certain types of securities transfers. You’ll be on the phone daily with financial advisors and their staff, internal Commonwealth departments, transfer agents, and other contra firms. You’ll take part in meetings and collaborate on projects. This small, close-knit group is responsible for thousands of transactions every day, so an exceptional eye for detail is a must, as is calm, diligent performance.   In this role, you will be provided many opportunities to succeed and grow within the company and industry, including acquiring industry registrations. In short, you’ll rapidly gain a singular and invaluable career experience. We look out for each other and pick one another up when things get busy. If you are team-centric and can hustle in a fast-paced environment, this may be the right job for you.   Key Responsibilities  - Processing money movement transactions, such as check, wire, EFT, and journal disbursements - Transferring securities between accounts internally and externally, paying close attention to strict regulations and deadlines governing those transactions - Depositing physical stock certificates and performing associated certificate research - Coding and depositing physical checks - Approving mobile and remote check deposits - Assisting in establishing instructions for standing payments and money movement - Resolving occasional problems and assisting our Service Center, advisors, and product companies, as necessary - Participating in a variety of departmental projects—both operational and in support of our company culture—and taking on additional responsibilities, as requested - Providing indispensable customer service in each and every interaction Core Strengths  - Excellent written and verbal communication skills - Knowledge of Treasury and/or finance and banking procedures, or equivalent work experience or undergraduate focus, preferred - Excellent customer service skills and a commitment to embracing Commonwealth’s indispensable service philosophy - Passion for hard work - Highly detail-oriented, organized, and self-motivated - Eye for process improvement - Forward thinker when it comes to problem-solving - Determination to continue learning and developing, along with a desire to surpass expectations 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. Where you can be yourself and belong. Where you can build a career and find community.      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. Come join us on the pathway 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 candidates from all backgrounds.   
Job ID
SD-2021-AP
Job Locations US-MA-Waltham
Are you an accomplished and experienced leader? Do you understand investment advisory and broker/dealer advertising rules and regulations? We are looking for a compliance supervisor to support our bicoastal Advertising Review team with reviewing advertising, sales, and promotional materials, as well as other written and electronic communications distributed by Commonwealth’s financial advisors and internal teams.   As supervisor, you will report to the advertising review manager. You will act as a subject-matter expert, lead team projects and initiatives, assist with staff development and training, and help ensure that the team’s review processes meet regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance.    Key Responsibilities - Reviewing financial planning reports, sponsor materials, and performance-related content - Monitoring ongoing regulatory actions and market changes to ensure that team members are conducting reviews with the most up-to-date industry knowledge - Assessing the effect of regulatory changes across FINRA, the SEC, and state regulatory agencies and working with management on policy and procedure development - Setting performance expectations for staff and promoting ongoing development through training, feedback, and growth opportunities - Evaluating existing procedures to ensure a consistent process with ongoing, team-wide adherence to applicable policies and procedures - Ensuring that our firm’s investment advisory and broker/dealer advertising and communications review policies and procedures remain in compliance with applicable SEC, FINRA, and state rules and regulations - Serving as an escalation point and subject-matter expert for both internal colleagues and affiliated financial advisors and their staff Core Strengths - Deep knowledge of FINRA and SEC advertising and marketing rules - Understanding of performance advertising rules and their application to dual registrant and RIA-only affiliated advisors - Ability to solve complex problems, assess risks, and offer solutions based on applicable rules and regulations, firm policies, and regulatory interpretive guidance - Adept at reading, analyzing, and interpreting general business publications, professional journals, technical procedures and statutes, and rules and regulations of applicable regulatory and self-regulatory organizations - Detail oriented and decisive - Exceptional ability to provide indispensable service through solution-oriented decision-making, and timely, accurate processing of requests - Flexibly manages shifting priorities, demands, and timelines - Excellent listening, writing, relationship building, coaching, and communication skills - Effectively works and communicates across all levels of the organization Additional Skills and Knowledge - Experience with investment advisory and broker/dealer advertising - FINRA Series 7 and 24 securities registrations - 5+ years of compliance experience - Previous leadership experience 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.
Job ID
W/SD-2021-AK
Job Locations US-MA-Waltham
Are you an exceptional manager with experience leading fast-paced operations? Do you have excellent organization skills and a collaborative mindset? Do you approach your work thoughtfully and with consistent attention to detail? We are looking for a mid-level Cashiering department supervisor to lead a diverse team while managing complex, mission-critical responsibilities. The successful candidate will bring money movement expertise and dynamic, inspired leadership to an essential team at Commonwealth.   Key Responsibilities - Overseeing management of all team members, departmental workflow, procedures, training, and phone queue - Allocating and monitoring team workload - Ensuring timely and accurate money movements are conducted according to instructions and company policies and procedures - Handling complex money movement functions and responsibilities, facilitating prompt, effective resolution to retirement and non-retirement money movement issues - Creating and maintaining cooperative and collaborative work relationships, and coordinating workflow with key Commonwealth teams, including, but not limited to, Retirement Operations, Service Center, Retirement Consulting Services, NFS, and third-party partners - Establishing and implementing enhanced department processes, procedures, and structural updates; working with IT product managers to develop applications and tools to effectively streamline and simplify processes - Managing the team training program and serving as a staff technical resource - Conducting individual team member performance reviews and making all other personnel-related decisions and recommendations (i.e., personnel employment, training, development, etc.) - Staying up to date on trends, news, policies, procedures, IRS regulations, NFS procedures, and industry developments affecting retirement accounts and money movement functions - Interpreting, developing, and communicating industry and procedural information to the field, internal departments, and peers - Providing positive motivation and performance coaching to your team - Motivating, encouraging, and coaching your team for peak performance - Upholding Commonwealth’s legacy of providing indispensable service  Core Strengths  - Excellent communication, listening, and collaboration skills - Independent drive to succeed and grow professionally - Strong fundamental understanding of broker/dealer and investment advisor operations - Ability to analyze complex issues, develop recommendations, and provide solutions - Strong work ethic with a high attention to detail and the ability to multitask in a fast-paced, high-pressure environment Additional Skills and Knowledge - 3+ years of experience in the brokerage industry - FINRA Series 99 securities registration required; Series 7 securities registration a plus - Proven leadership experience working cross-functionally within an organization - Demonstrated project management skills - Passion for people management 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 candidates from all backgrounds.  
Job ID
W/SD-2021-146
Job Locations US-MA-Waltham
In this role, you will serve as the primary point of contact for a diverse range of advisor marketing projects. You will have an exciting opportunity to work with Commonwealth’s financial advisors, who are among the most successful in the industry.   Reporting to the manager of advisor marketing, this job requires a general knowledge of website marketing best practices, strong project management expertise, and excellent written and communication skills. The ideal candidate is focused on creating a positive customer experience, able to manage and prioritize multiple projects, and passionate about strategic marketing.    Key Responsibilities - Serving as the first point of contact for our advisors and their staff; answering phone calls and incoming email inquiries - Educating callers on a broad range of Commonwealth marketing resources - Facilitating the project management of client facing and internal projects - Providing project and analytics reporting - Managing and maintaining Qualtrics surveys - Overseeing advisor requests for brand templated materials - Working closely with internal marketing groups to carry out advisor requests - Ensuring that project delivery timelines align with advisor needs - Adhering strictly to workflow management processes and quality control methods - Developing client-friendly communications - Coordinating the successful completion of assigned projects in a dynamic environment Core Strengths - Experience and interest in digital marketing (i.e., website, social media, email marketing) - Excellent active listening skills, organizational skills, and attention to detail - Proven success working cross-functionally within an organization - A can-do attitude and passion for delivering indispensable service - Strong communication and writing skills - Knowledge of Microsoft Office (Word, Excel, PowerPoint, Outlook) technologies - Understanding of Google Analytics Additional Skills and Knowledge - Bachelor’s degree in marketing, communications, or a related discipline - 1–2 years of experience in digital marketing or marketing communications - Experience in project management - Agile experience a plus 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.  
Job ID
W-2021-RB
Job Locations US-CA-San Diego
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.  
Job ID
SD-2021-AS
Job Locations US-MA-Waltham
Our Transfer of Assets department is a hard-working yet fun team responsible for all account transfers into and out of Commonwealth. Our group, which spans both coasts, is driven by attention to detail and following policies, procedures, and regulations to a T—all while providing Commonwealth’s signature level of indispensable service.   We are looking for a self-motivated and customer service–oriented team player. The right candidate will quickly earn the trust and respect of our advisors, as well as his or her coworkers.   Key responsibilities  - Reviewing and processing requests for incoming transfers - Communicating with advisors’ offices to resolve NIGOs, as well as any issues that arise along the transfer life cycle - Logging detailed notes and applying statuses to pending incoming transfers - Communicating with our clearing firm, NFS, as well as many different delivering firms to troubleshoot transfer issues - Serving as an informational resource for our Service Center, advisors, and their staff via queue calls and emails - Striving to constantly improve our internal processes Core strengths  - Strong commitment to accuracy, details, and logical decision making - Superb analytical abilities and problem-solving skills - Keen eye for process improvements and quality assurance - Excellent verbal and written communication skills, as well as listening skills - Organized, patient, positive, and ambitious - Deadline driven - Proficient with Microsoft Word and Excel - Experience working with financial advisors or in an advisory firm a plus - FINRA Series 7 registration a plus - Desire to work for a department with a culture all its own at a company that prides itself on providing indispensable customer service 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. Where you can be yourself and belong. Where you can build a career and find community.   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. Come join us on the pathway 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 candidates from all backgrounds.
Job ID
W/SD-2021-PM
Job Locations US-MA-Waltham
Do you have experience driving business improvements and delivering successfully on high priority enterprise programs and projects? Our PMO team is looking for a professional to support the successful completion of goals for Commonwealth and our business partners. In this role, you will be responsible for providing transparency and oversight for critical programs and projects, communicating project reviews to the executive team, and leading the adoption of best practices across the organization.   Key Responsibilities - Guiding program and project managers to triage, mitigate, and resolve risks and issues - Improving the delivery and efficiency of high priority programs and projects - Implementing status reporting processes, cadence, and metrics for communications with executive stakeholders, and ensuring that the status and health of delivery initiatives is understood - Leading reviews of high priority programs and projects with executive stakeholders - Managing the overall direction, coordination, implementation, execution, and control of projects Core Strengths - Experience working independently, as well as in a team-oriented collaborative environment - Strong communication skills (i.e., written, verbal, and presentation) - Adapts to shifting priorities, demands, and timelines using analytical and problem-solving skills - Persuasive, adaptable, encouraging, and motivating Additional Skills and Knowledge - 12+ years of program or project management experience - Experience managing large and complex multi-year programs - Knowledge of Agile and traditional project management methodologies - Financial services experience preferred 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.  
Job ID
W-2021-199
Job Locations US-MA-Waltham
Are you bright, motivated, and looking to begin your securities industry career? If so, you we may have the perfect fit for you!   In this role, you will work directly with our financial advisors and home office staff to help interpret and apply state, federal, and other rules and regulations governing the securities industry. Having a strong desire to learn, the ability to handle multiple projects in a fast-paced and dynamic work environment, and a close attention to detail will be key to your success.   Key Responsibilities  - Collaborating with and providing support to our internal Compliance teams, departments across the firm, advisors, and their staff - Assisting in tracking and analysis of regulatory reporting requirements - Conducting general compliance functions and assisting with special projects - Processing a high-volume of data entry   Core Strengths  - Aptitude with multiple systems and procedures - Ability to communicate complex information to advisors and Commonwealth staff - Growth-oriented, both personally and professionally; interested in a securities industry career - Excellent listening and communications skills, both written and verbal - Ability to work as a team player, as well as independently - Excellent research and problem-solving skills - Quickly learns, understands, and applies new information - Positive and respectful attitude; a strong desire to help others - Multitasker who is extremely detail-oriented; can prioritize and manage time effectively 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.
Job ID
W/SD-2021-SF