CRM Support Specialist

Overview

Whether 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 advisor to join our team. Are you naturally curious and skilled at stitching together pieces of information? Do you find it fulfilling to develop solutions to problems?

 

The Surveillance team, a unit within the larger Compliance department, is looking for someone who embodies that balance—an inquisitive and understanding problem-solver. As a compliance advisor, you will review internal reports to ensure that firm policies and regulatory rules are being satisfied, while being supportive, empathetic, and flexible as unique circumstances arise.  

 

Key Responsibilities

• Analyze and monitor exception reports for potential firm policy violations and regulatory rules, as well as potential sales practice issues
• Apply reasonable judgment when working with advisors while ensuring compliance
• Effectually navigate pushback and exert influence to resolve reviews
• Identify and escalate issues to senior team members; proactively offering recommendations and solutions
• Share ideas for improving compliance-related systems, processes, and reports
• Educate advisors, their staff, and home office staff on regulatory topics through recorded teleconferences, newsletter articles, training resources, or other mediums

 

Core Strengths and Skills

• An adaptable mindset with creative problem-solving skills
• Great listening and communication skills and an ability to nurture relationships
• An expert at handling multiple responsibilities and keeping assignments on track
• A lifelong learner who enjoys growing from experiences and bringing ideas to the forefront
• A positive outlook with a strong desire to help others

 

Additional Skills and Knowledge

• 3+ years of experience working in the financial services industry; prior compliance, trade desk, research, or product-sponsor relationship experience a plus
• FINRA Series 7 securities registration required
• FINRA Series 24 securities registration a strong plus
• FINRA Series 63/65, 66, 4, 52, and 53 securities registrations a plus
• Candidates who do not have additional securities registrations and have a strong desire and commitment to obtain them is important

 

This is a full-time position, Monday through Friday, with some flexibility around daily working hours. The hybrid work schedule will be determined by the team’s supervisor, with the applicant working a combination of on-site and remote workdays during the workweek.

 

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. 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  

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