Compliance Advisor

Commonwealth Financial Network is a prominent national investment company which prides itself on offering the highest level of service. In addition to various industry awards, Commonwealth has been acknowledged for four consecutive years as one of the “Best Place to Work” by the Boston Business Journal. The applicant should exemplify this level of service.

 

Compliance Advisor



A key role of the broker/dealer is to oversee the securities business of the individual brokers to ensure that each business is run in a manner consistent with both the spirit and the letter of the securities laws and regulations. The Compliance department is in charge of interpreting and applying the compliance rules relating to this function.

 

We are seeking a compliance professional who will be responsible for conducting on-site inspections of Commonwealth’s branch offices nationwide. Under minimal supervision, the qualified candidate will help ensure compliance with state and federal regulations and help decrease the firm’s exposure to regulatory and financial risk. In addition to inspections and associated reporting, the Compliance Advisor will communicate regularly with our representatives as well as home office employees with regard to firm policy and procedures. Responsibilities also include conducting a variety of general compliance functions.

 

Requirements

Minimum 3 years experience in compliance or the financial services industry

-Branch office audit experience preferred

-Series 7 and 24 required

-Ability to travel on a frequent basis (up to 2 weeks of travel per month)

-Detail oriented and well organized-Strong analytical and organizational skills

-Ability to meet deadlines in a fast paced environment

-Excellent written and verbal communication skills

-Proficient in Microsoft Word, Excel