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Commonwealth Financial Network Compliance Advisor, Branch Audit in Waltham, Massachusetts

Whether you’re looking for a high-energy, inclusive atmosphere or 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 opportunities for 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 part-time!

Now, we’re looking for a compliance advisor for our branch audit team to join our ranks! You will travel to advisor offices nationwide to conduct on-site inspections (scheduled and unannounced) to help us oversee the securities and advisory businesses of more than 2,000 Commonwealth advisors. Your mission will be to ensure that each business is run in a manner consistent with the spirit and the letter of industry rules and regulations, as well as the firm’s compliance and supervisory programs, to decrease exposure to regulatory and financial risk.

Key Responsibilities

  • Conducting on-site inspections of Commonwealth’s branch offices nationwide and documenting associated audit findings in a timely manner

  • Communicating regularly with advisors, as well as home office employees, regarding firm policies and procedures

  • Completing a variety of general compliance projects, such as drafting internal communications, presenting at firm conferences, conducting continuing education teleconferences, data analysis, internal compliance reviews, and other tasks as assigned

Core Strengths and Skills

  • Excellent written and verbal communication skills

  • Ability to work under minimal supervision

  • Detail oriented with strong analytical and organizational skills

  • Ability to meet deadlines in a fast-paced environment

  • Proficient in Microsoft Word and Excel

Additional Skills and Knowledge

  • A minimum of 3 years of experience in compliance or the financial services industry

  • FINRA Series 7 securities registration required; FINRA Series 24 securities registration preferred (required within 6 months)

  • Able to commit to traveling 30-40 percent of the time

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

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.

J.D. Power ranks Commonwealth “#1 in Independent Advisor Satisfaction Among Financial Investment Firms, Eight 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, which has earned us 43 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.

ID: W-2022-JH

External Company URL:

Street: 29 Sawyer RD