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Compliance Administrator, Surveillance

Expired Job

Commonwealth Financial Waltham , MA 02154

Posted 3 months ago


Commonwealth Financial Network is the largest privately held Registered Investment Adviserindependent broker/dealer in the U.S., with offices in Waltham, Massachusetts, and San Diego, California. Since 1979, we've been helping our field force of independent financial professionals help investors pursue their financial goals. We do that by providing them with the technology, research, resources, and support that allow them to keep their focus on what's most important: investors and their financial objectives.

With that said, we are not your typical financial services firm. For starters, we're a fast-growing company, and we think and have fun like a start-up. Conveniently located on the commuter rail near the intersection of I-95 and the Mass Pike, we're accessible from anywhereand away from the congestion of a downtown commute.

Commonwealth recognizes that our people are our greatest asset by investing in training and professional development. As a result, Commonwealth has been recognized 39 times (and counting) as one of the Best Places to Work by top publications in the region (Boston Globe, Boston Business Journal, San Diego Business Journal, San Diego Union-Tribune), as well as in the IT industry (Computerworld). With high marks in areas such as work environment, work/life balance, job satisfaction, and opportunities for advancement, Commonwealth is a place where you can thrive.

Discover what it's like to be psyched to come to work every day! We offer you:

  • Generous bonus and stock option incentive plans

  • Use of our chairman's vacation properties (Cape Cod, Lake Winnipesaukee, Sunday River, Key Biscayne, Las Vegas, Park City, the Bahamas, and the Dominican Republic) at no cost

  • Fully paid maternity leave (12 weeks) and spousal leave (3 weeks)

  • A more relaxed, "dress for your day" dress code

  • A free on-site fitness center

  • Ample opportunity to volunteer with and support local charities

  • A VTO (volunteer time off) day to use toward a cause that's important to you

  • Tuition reimbursement

  • Free breakfast on Fridays

  • A competitive benefits packageand much more

About the OpportunityThe Compliance department works with home office staff and advisors to interpret and apply state, federal, and other rules and regulations governing the securities industry.Responsibilities

  • Providing ongoing administrative support to the Surveillance team

  • Processing high-volume data entry items

  • Preparing and maintaining Compliance reports

  • Assisting in the tracking and analysis of regulatory reporting requirements

  • Assisting with the management and retention of confidential documentation

  • Working on various projects in support of the Surveillance team

  • Communicating with other Compliance teams, firm departments, and branch office personnel


  • Working knowledge of Microsoft Office basics (e.g., Word, Excel, Access)

  • Strong attention to detail

  • Highly motivated

  • Growth oriented, both personally and professionally

  • Ability to work within both group and autonomous settings

  • Interest in developing a career within the securities industry

  • Deadline driven

  • A positive attitude

  • Effective communication skills, both written and oral

  • Quick learner

  • Comfortable in a fast-paced, dynamic environment


Have we piqued your curiosity? Can you see yourself thriving in this career opportunity, as well as our Anything but Common workplace culture? If soand if your background and experience align with our needsplease do submit your application right away.

Commonwealth Financial Network is an equal opportunity employer that is committed to a diverse workforce.

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Compliance Administrator, Surveillance

Expired Job

Commonwealth Financial