Job Description

Job ID: W-2023-KW
# of Openings: 1
Category: Compliance
Type: Permanent/ Full-Time

Overview

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

As a compliance advisor on the Branch Audit team, you will travel to advisor offices nationwide to conduct on-site inspections (scheduled and unannounced) to help us oversee the securities and advisory businesses of more than 2,000 Commonwealth advisors. Your mission will be to ensure that each business is run in a manner consistent with the spirit and the letter of industry rules and regulations, as well as the firm\'s compliance and supervisory programs, to decrease exposure to regulatory and financial risk.

Commonwealth\'s auditors need to be excellent communicators who are analytical and detail driven. Being on the road and working with minimal supervision, they also must be skilled at managing their time and meeting deadlines.

Key Accountabilities

• Conducting on-site inspections of Commonwealth\'s branch offices nationwide and documenting associated audit findings in a timely manner
• Communicating regularly with advisors, as well as home office employees, regarding firm policies and procedures
• Completing a variety of general compliance projects, such as drafting internal communications, presenting at firm conferences, conducting continuing education teleconferences, data analysis, internal compliance reviews, and other tasks as assigned

Core Strengths

• Excellent written and verbal communication skills
• Ability to work under minimal supervision
• Detail oriented with strong analytical and organizational skills
• Ability to meet deadlines in a fast-paced environment
• Proficient in Microsoft Word and Excel

Additional Skills and Knowledge

• A minimum of 3 years of experience in compliance or the financial services industry
• FINRA Series 7 and 24 securities registration required
• Able to commit to traveling 50 percent of the time

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.

Min

USD $80,000.00/Yr.

Max

USD $105,000.00/Yr.

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Commonwealth Financial Network LLC