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Compliance Associate, Compliance Commonwealth Financial Network is a prominent national investment company that 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 Places to Work in Massachusetts by the Boston Business Journal. The applicant should exemplify this level of service. 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. As a member of the Compliance department, the compliance associate responds to telephone and written inquiries from our registered representatives and home office personnel. The position involves extensive phone work—answering compliance inquiries from registered representatives and home office staff regarding Commonwealth policies and procedures and industry rules and regulations. In addition, the compliance associate supports the department’s client contact efforts as part of the firm’s surveillance program and assists in special projects as needed. Requirements:
Waltham, MA position Please reference the job code 08-035 when applying. |
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