Compliance Administrator, Surveillance

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 surveillance to join our ranks. As part of the larger compliance department and the branch oversight team, surveillance consists of compliance professionals who analyze reports and data to mitigate risk and meet regulatory obligations.

Key Responsibilities

• Monitoring the team’s daily incoming email communications through a central shared inbox
• Running and preparing reports as required, using an internal technology product that you will be trained to operate and oversee
• Organizing and assigning work items for other team members
• Preparing and distributing quarterly action notifications to advisors and responding to follow-up questions
• Working with multiple databases to gather and prepare information for inspections of branch offices
• Supporting ad hoc tasks, such as facilitating the approval process for advisors who sell specific products, generating monthly status summaries for supervisors, and obtaining and organizing information for regulatory request inquiries.

Core Strengths and Skills

• Desire to learn new concepts and technologies
• Performs well under pressure
• Comfortable completing tasks that require a high degree of accuracy and timeliness
• Positive attitude and adaptable mindset when working through complex tasks or changing circumstances
• Ability to communicate in a clear, respectful, and consultative manner via email and telephone
• Capable of being accountable to deadlines and deliverables
• Effectively collaborates and nurtures positive relationships with a diverse group of people

Additional Skills and Knowledge

• Working knowledge of Microsoft Excel (specifically macros, the VLOOKUP function, and pivot tables.)

Career Path

Applicants with a variety of backgrounds and experiences can find success in this role. Whether you are pursuing your first professional experience, looking to shift your career in a new direction, or are interested in re-joining the professional workforce, a desire to learn Commonwealth’s business model, obtain industry licenses, and grow as a compliance professional would be supported and is appreciated in potential candidates.

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 Blue Ash, 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.