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Commonwealth Financial Network Investment Supervision Principal 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.

We’re looking for a investment supervision principa to join our ranks. Are you knowledgeable about current market conditions? Can you adapt quickly to the industry’s constantly changing rules and procedures? In this role, you will work in a fast-paced and deadline-driven environment to review transactions and educate our advisors on policies and regulations. The ability to work well independently and handle difficult situations in a professional manner is essential.

Key Responsibilities

  • Reviewing and approving direct transactions, including 529s, mutual funds, annuities, and alternative investments for suitability and best interest

  • Working directly with advisors or staff members to solve suitability or best interest questions or topics

  • Discussing regulatory rules and company policies with advisors

  • Analyzing the suitability requirements for specific client transactions and reviewing them with advisors

  • Working closely with Compliance, Trading, and other operations areas to provide exceptional service to our advisors and their clients

Core Strengths

  • Strong attention to detail

  • Excellent written and verbal communication skills

  • Strong analytical and organizational skills

  • Ability to meet deadlines in a fast-paced environment

  • Proficient in Microsoft Office

  • Ability to work well independently or in a team setting and under pressure

Additional Skills and Knowledge

  • Minimum 3 years of experience in the financial services industry

  • FINRA Series 7, 24, 53, and 66 securities registrations (or equivalent) required

  • Background in securities, including experience with 529s, mutual funds, annuities, or alternative investments

  • Familiarity with the current regulatory environment as it relates to client suitability and best interest in the financial services industry

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.

ID: W-2022-SF

External Company URL:

Street: 29 Sawyer RD