Compliance Advisor, Compliance Consulting Team

Commonwealth Financial San Diego , CA 92140

Posted 2 months ago

Overview

In Compliance, our focus is on following the rules and regulations set forth by the SEC, FINRA, MSRB, NFA, and individual states. But it is just as important that our approaches to customer service and communication are top notch. 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 couple of key FINRA securities registrations to your name?

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 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

  • Assisting with special projects as needed

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 6 months of employment

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

About Commonwealth-and Our Anything but Common Culture

Commonwealth Financial Network is the largest privately held Registered Investment Adviser-independent broker/dealer in the U.S., with offices in Waltham, Massachusetts, and San Diego, California. Since 1979, we've been delivering indispensable service to independent financial professionals so they, in turn, can put their clients first. Our technology, research, resources, and support-plus a variety of affiliation models-deliver what today's independent advisors need to thrive.

That being said, we are a financial services company with a unique mission-one that encompasses purpose, vision, and core values in equal measure. Staying true to these guiding principles is the reason we are recognized so often and by so many for the quality of life we enjoy here. We believe it directly translates to a better experience for everyone: employees, advisors, clients, and our communities.

Creating a supportive culture where everyone can thrive is a mission we take seriously. From professional development to comprehensive benefits, grassroots leadership opportunities, generous bonus and stock option incentive plans, opportunities to unwind and connect, and so much more, Commonwealth is not just a great place to work-it's a place that, for many, feels like home.

We care about your online safety as a prospective employee and encourage you to exercise caution when responding to job postings online. Commonwealth Financial Network 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 Financial Network is an equal opportunity employer that is committed to a diverse workforce.


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Compliance Advisor, Compliance Consulting Team

Commonwealth Financial