Commonwealth Financial Network
Compliance Advisor, Advertising Review
Commonwealth Financial Network, Waltham, MA
Overview
If you're looking for a high-energy, inclusive atmosphere and 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 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 department offers a hybrid work schedule, so you'll be able to work from home for part of the week!
We're looking for a compliance advisor to join our ranks. 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
Core Strengths and Skills
Additional Skills and Knowledge
Have we piqued your curiosity? Can you see yourself thriving in this opportunity?
Picture Yourself Here
At Commonwealth, we believe in a better world. We hold ourselves and each other to higher standards. We take care of one another. That's why we invest in you-we encourage employee growth both in your career and education; we are building out a robust diversity, equity, and inclusion program; we offer incredible health care benefits; and we find plenty of occasions to celebrate. What's not to love?
We are always striving to be better, and we are looking for employees who share that same mindset. Better people, better coworkers, better leaders, better creators. Bring your best work and your full self to the table, and we will do the same. Together, we can build a better future for our advisors, their clients, our company, and you.
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. Privately held since 1979, the firm has headquarters in Waltham, Massachusetts; San Diego, California and a new office opening soon in greater Cincinnati, Ohio.
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, which has earned us 44 Best Place to Work awards.
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 talent from all backgrounds.
Min
USD $80,000.00/Yr.
Max
USD $105,000.00/Yr.
If you're looking for a high-energy, inclusive atmosphere and 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 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 department offers a hybrid work schedule, so you'll be able to work from home for part of the week!
We're looking for a compliance advisor to join our ranks. 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 and Skills
- 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
Have we piqued your curiosity? Can you see yourself thriving in this opportunity?
Picture Yourself Here
At Commonwealth, we believe in a better world. We hold ourselves and each other to higher standards. We take care of one another. That's why we invest in you-we encourage employee growth both in your career and education; we are building out a robust diversity, equity, and inclusion program; we offer incredible health care benefits; and we find plenty of occasions to celebrate. What's not to love?
We are always striving to be better, and we are looking for employees who share that same mindset. Better people, better coworkers, better leaders, better creators. Bring your best work and your full self to the table, and we will do the same. Together, we can build a better future for our advisors, their clients, our company, and you.
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. Privately held since 1979, the firm has headquarters in Waltham, Massachusetts; San Diego, California and a new office opening soon in greater Cincinnati, Ohio.
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, which has earned us 44 Best Place to Work awards.
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 talent from all backgrounds.
Min
USD $80,000.00/Yr.
Max
USD $105,000.00/Yr.