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Job Description
Job ID: W-2023-026
# of Openings: 1
Category: Account Supervision
Type: Permanent/ Full-Time
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 Account Supervision 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 Advisory Operations Principal to join our ranks. Over the last decade, the financial services industry has trended toward advisory business, and there are now more channels in which advisors can facilitate business (RIA-Only, IAR-Only, hybrid, etc.). Currently, more than half of our revenue comes from advisory business, and this number is only expected to grow. As an Advisory Operations Principal, you will use your ability to adapt quickly to this industry’s constantly changing rules and your complex advisory products knowledge to improve relevant operational workflows and creating educational deliverables.
Key Responsibilities
- Ensuring that investment advisor regulations are being followed and any new regulations are implemented, as needed
- Educating in-house staff and advisor offices to ensure they are fully aware of all advisory programs available, as well as how to facilitate business through them
- Collaborating with Operations, Wealth Management, and Compliance to ensure that advisory regulation, programs, and platform resources are accurate and available
- Processing third-party advisory business
- Identifying and implementing process improvements to increase operational efficiency between departments
Core Strengths and Skills
- Excellent written and verbal communication skills
- Strong attention to detail
- FINRA Series 7, 24, and 66 securities registrations required
- Detail oriented with strong analytical and organizational skills
- Ability to meet deadlines in a fast-paced environment
- Ability to work well independently and under pressure
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
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.
Min
USD $100,000.00/Yr.
Max
USD $125,000.00/Yr.
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