Compliance Advisor -- Advertising Review

Posting ID : A1068450588
Date Posted : 2015-08-18
Category : Legal Paralegal

Commonwealth Financial Network is the largest privately held independent broker/dealer in the United States, with offices in Waltham, Massachusetts, and San Diego, California. Since 1979, we've been helping our field force of independent financial professionals help investors pursue their financial goals. We do that by providing them with the technology, research, resources, and support that allow them to keep their focus on what's most important: investors and their financial objectives.

With that said, we are not your typical financial services firm. For starters, we're a fast-growing company, and we think and have fun like a start-up. Conveniently located on the commuter rail near the intersection of Route 95 and the Mass Pike, we're accessible from anywhere--and away from the congestion of a downtown commute.

Commonwealth recognizes that our people are our greatest asset by investing in training and professional development. As a result, Commonwealth has been recognized 28 times (and counting) as one of the Best Places to Work by top publications in the region (Boston Globe, Boston Business Journal, San Diego Business Journal, San Diego Union-Tribune), as well as in the IT industry (Computerworld). With high marks in areas such as work environment, work/life balance, job satisfaction, and opportunities for advancement, Commonwealth is a place where you can thrive.

Discover what it's like to be psyched to come to work every day! We offer you:A generous bonus plan Stock options and use of vacation properties (Cape Cod, Lake Winnipesaukee, Sunday River, Key Biscayne, Las Vegas, the Bahamas, and the Dominican Republic) A free on-site fitness centerAmple opportunity to volunteer with and support local charities A VTO (volunteer time off) day to use toward a cause that's important to you Tuition reimbursement Free bagels every Friday morning to accompany a Friday casual dress codeA competitive benefits package--and much moreAbout the Opportunity

We are looking for a strong relationship builder with excellent communication skills--and a background in advertisement/sales literature review--to join our Compliance department's Advertising Review team.

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 a compliance advisor on the Advertising Review team, your responsibilities would include:
Reviewing and approving materials from advisors and Corporate Marketing and Communications, ranging from sales literature, newsletters, websites, social media, advertisements, marketing materials, and prospecting toolsEnsuring compliance with state and federal regulations in order to decrease the firm's exposure to regulatory/legal riskProviding alternative ideas for advertising submissions that do not meet regulatory standardsContributing to high priority projects on an as needed basisThe ideal candidate for this position should meet the following requirements:

Experience3+ years of experience in compliance or financial servicesA background in advertisement/sales literature reviewKnowledgeA background in securities, including mutual funds, variable annuities, alternative investments, and equity and debt products, as well as knowledge of investment advisory advertising standardsFINRA Series 7 and 24 registrations required; Series 53 must be maintained within six months of hireCollege degree, requiredSkillsA passion for service; superb customer relationship skillsAbility to consistently provide a high level of attention to detailStrong communication skills--both written and oralEffective time management and organizational skills; ability to work well independently and under pressureHave we piqued your curiosity? Can you see yourself thriving in this career opportunity, as well as our Anything but Common workplace culture? If so--and if your background and experience align with our needs--please do submit your application right away. Apply online at .

Commonwealth Financial Network is an equal opportunity employer.


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