Compliance Consultant, Compliance Consulting Team

Commonwealth Financial Waltham , MA 02154

Posted 2 months ago

Overview

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.

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Compliance Consultant, Compliance Consulting Team

Commonwealth Financial