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Commonwealth Financial Network Compliance Administrator, RIA Compliance in Waltham, Massachusetts

Are you a bright, motivated individual interested in developing a career in the securities industry? As a compliance administrator, you will join our RIA Compliance team, a unit within the larger Compliance department. Your role will be essential in keeping our operation running smoothly. The right person will provide indispensable team support, pay attention to all the details, and consistently meet deadlines.

Key responsibilities

  • Educating and consulting advisors and staff, as well as Commonwealth employees, on a broad range of compliance topics, from policies and procedures to complex client scenarios, both verbally and in writing

  • Building relationships with our financial advisors and their staff by consistently providing the highest level of service

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

  • Assisting with maintenance of compliance manuals that focus on our advisors, who operate primarily under the U.S. Securities and Exchange Commission regulations

  • Requesting, obtaining, and documenting information from advisors

  • Conducting a variety of general compliance functions in support of the RIA Compliance team

  • Assisting with special projects, as needed

  • Upholding Commonwealth’s legacy of providing indispensable service—a level of service so satisfying our advisors would never want to be without us

Core strengths

  • Excellent communication skills, both written and verbal

  • Patient and thorough listener

  • Proficient with Microsoft Office applications

  • Ability to work as a member of a team

  • Excellent research and problem-solving skills

  • Ability to learn, understand, and apply new information quickly and communicate clearly

  • Intuitive thinker with the innate ability to piece multiple concepts together to resolve complex problems, assess risk, and see the big picture

  • Positive attitude with a strong desire to help others

  • Multitasker with attention to detail and the aptitude to use multiple systems and follow procedures

Additional skills and knowledge

  • 1–2 years’ compliance or financial services experience

  • Experience with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 a plus

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.

ID: W-2020-131

External Company Name: Commonwealth Equity Services, Inc.

External Company URL:

Street: 29 Sawyer RD