Compliance Associate
The Compliance department works with home office staff and advisors to interpret and apply state, federal, and other rules and regulations governing the securities industry.

As an compliance associate, your responsibilities would include:

• Responding to telephone and written inquiries from our financial advisors and home office personnel regarding Commonwealth policies and procedures and industry rules and regulations
• Supporting the department’s client contact efforts as part of the firm’s surveillance program
• Assisting in special projects as needed

The ideal candidate would also meet the following requirements:

• 3 years’ compliance or financial services experience
• FINRA Series 7 and Series 24 securities licenses, required; Series 53 required within 3 months of hire
• Proficiency with Microsoft Office applications
• Excellent written and verbal communications skills
• Ability to work as a member of a team
• Excellent research and problem-solving skills

A Best Place to Work, a Great Place to Be
Commonwealth Financial Network^® is an independent broker/dealer based in Waltham, Massachusetts, and San Diego, California.

We are a community of more than 400 home office staff helping more than 1,300 independent financial advisors achieve their own version of success. Our dual vision—to be the best at everything we do and to maintain a supportive environment where we all can thrive—has earned us recognition as a Boston Business Journal Best Place to Work for the last six consecutive years; a Computerworld Best Place to Work in IT for the past three consecutive years; and #1 debuts in the midsize category in the Boston Globe’s 2008 list of the 100 Top Places to Work and the San Diego Business Journal’s 2009 Best Places to Work.

We stand apart for our commitment to indispensable service, profitability, individual development—and fun. If you’re equally passionate about what you do and want to know more about our refreshing culture, please let us hear from you.

Commonwealth Financial Network is an equal opportunity employer.

Waltham, MA position