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Commonwealth Financial Network Compliance Administrator, RIA Compliance 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, our Compliance department offers a hybrid work schedule, so you’ll be able to work from home part time!

We’re looking for a compliance administrator to join our ranks. Supporting the consulting program and compliance managers, the compliance administrator provides guidance to RIA advisors who maintain their own compliance programs. The RIA Compliance team is responsible for supporting the firm’s advisory compliance programs; designing and periodically updating investment advisory compliance systems, policies, procedures, and supervisory controls; and providing ongoing advisory compliance guidance and support to other Commonwealth business units and to advisors and their staff, as needed. The successful candidate will be highly organized, self-motivated, and eager to learn in a fast-paced team environment.

Key Responsibilities

  • Supporting the delivery of RIA consulting services

  • Reviewing and maintaining files using the Microsoft Office suite, and assisting with formatting, version control, and electronic filing

  • Maintaining electronic files (SharePoint, ShareFile) and team access data as required

  • Managing timelines for RIA firm transitions with the RIA Services team, gathering data to facilitate regulatory filings, and coordinating regulatory exam data requests

  • Collaborating on special projects with third-party service providers, internal Compliance teams, and other departments as needed

  • Building strong internal and external relationships and providing the highest level of customer service

  • Participating in educational opportunities to build knowledge of the RIA compliance space

  • Assisting with the development and distribution of training and educational materials to partner RIAs

Core Strengths and Skills

  • Excellent listening and communications skills, both written and verbal

  • Exceptional research and problem-solving skills

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

  • Positive attitude, with a strong desire to help others

  • Detail-oriented multitasker who can skillfully use multiple systems and follow applicable procedures

  • Proficient with Microsoft Office applications

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-2022-099

External Company URL: https://www.commonwealth.com/

Street: 29 Sawyer RD

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