Compliance Administrator, Branch Audit

Overview:

If you’re looking for a high-energy, inclusive atmosphere and 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 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 for part of the week!

We’re looking for a compliance administrator to join our ranks. Are you a bright, motivated person who is interested in developing a career in the securities industry? Our Branch Audit team, a unit within the larger Compliance department, consists of compliance professionals who visit Commonwealth’s nationwide branch offices to conduct annual inspections. The role of team administrator is essential in keeping our operation running smoothly.

The right person for this opportunity will provide indispensable team support, pay excellent attention to all the details, and be deadline driven. A drive to learn the audit process, obtain industry licenses, and potentially grow into a branch auditor career path is valued in candidates.

Key Responsibilities 

• Providing ongoing administrative support to the Branch Audit team
• Preparing documentation that is analyzed during the pre-branch exam process
• Assisting with the management and retention of confidential documentation
• Working on various projects in support of the Branch Audit team
• Communicating with other Compliance teams, firm departments, and branch office personnel

Core Strengths and Skills

• A willingness to acquire the FINRA Series 7 securities registration
• Growth oriented, both personally and professionally
• Ability to work within both group and autonomous settings
• Working knowledge of Microsoft Office basics (e.g., Word, Excel, Access)
• Strong attention to detail
• Highly motivated
• Deadline driven
• A positive attitude
• Effective communication skills, both written and oral
• Quick learner
• Comfortable in a fast-paced, dynamic environment

Have we piqued your curiosity? Can you see yourself thriving in this opportunity? 

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. Privately held since 1979, the firm has headquarters in Waltham, Massachusetts; San Diego, California and a new office opening soon in greater Cincinnati, Ohio. 

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 44 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.