Dynamic Account Review Associate – Hybrid Financial Advisory Operations Specialist for Commonwealth Financial Network

About Commonwealth Financial Network – A Legacy of Excellence and Innovation

Welcome to Commonwealth Financial Network, a trusted member of FINRA/SIPC and a Registered Investment Adviser that has been empowering independent financial advisors across the United States since 1979. With headquarters in the vibrant technology hub of Waltham, Massachusetts, and a strong presence in sunny San Diego, California, Commonwealth delivers a comprehensive suite of business solutions, cutting‑edge technology platforms, and unparalleled support services to more than 2,000 advisors nationwide.

Our mission is simple yet ambitious: to create a better world for our advisors, their clients, and our employees. Over the years, we have cultivated a culture defined by high performance, collaborative spirit, and genuine care for each individual’s growth. This commitment has earned us the coveted 43 “Best Place to Work” awards, a testament to the rewarding and inclusive environment we nurture every day.

Why This Role Matters – The Strategic Impact of an Account Review Associate

In the fast‑moving financial services arena, accuracy, compliance, and timeliness are non‑negotiable. As an Account Review Associate, you will serve as a critical gatekeeper, ensuring that every change of broker/dealer request, advisor onboarding, and account modification meets rigorous regulatory standards and internal policies. Your work directly supports the trust our advisors place in Commonwealth and helps protect the financial wellbeing of millions of clients.

Key Responsibilities – What Your Day‑to‑Day Will Look Like

• Process Change of Broker/Dealer Requests: Review, validate, and enter all broker/dealer change requests in our case‑management system, confirming that advisors hold the appropriate licenses and appointments.
• Document Precise Case Details: Capture and maintain comprehensive records of each request, including supporting documentation, communication logs, and final approvals.
• Investigate and Resolve Rejected Requests: Research why a request was rejected, collaborate with internal partners (Compliance, Operations, IT) and sponsor firms to address deficiencies, and drive each case to a satisfactory resolution.
• Maintain a Responsive Phone Queue: Serve as a knowledgeable point of contact for advisors and their staff, providing clear guidance on suitability, account changes, and procedural inquiries.
• Adhere to Regulatory and Policy Frameworks: Uphold FINRA, SIPC, and internal compliance guidelines in every transaction, ensuring that Commonwealth remains a trusted industry leader.
• Support Team Initiatives: Participate in continuous‑improvement projects, suggest workflow enhancements, and share best practices with peers to elevate departmental performance.

Essential Qualifications – The Foundations of Success

• Education: Minimum of a bachelor’s degree in Finance, Business Administration, Economics, or a related field. Relevant certifications (e.g., Series 7, Series 24) are advantageous but not mandatory.
• Experience: 2+ years of experience in account supervision, compliance, or brokerage operations within a financial services firm.
• Technical Proficiency: Comfortable navigating case‑management platforms, CRM tools, and Microsoft Office Suite (especially Excel and Outlook). Familiarity with financial data repositories is a plus.
• Communication Skills: Exceptional verbal and written communication abilities, with a talent for translating complex regulatory language into clear, actionable guidance.
• Analytical Acumen: Strong investigative instincts and problem‑solving skills, allowing you to quickly identify root causes and propose effective remedies.
• Detail Orientation: A meticulous eye for accuracy, ensuring that every data point is captured correctly and that compliance thresholds are never missed.
• Team Collaboration: Ability to work independently while thriving in a tight‑knit, high‑energy team environment.

Preferred Qualifications – Going the Extra Mile

• Experience with FINRA or SIPC compliance processes.
• Proficiency in data‑analysis tools (e.g., Tableau, Power BI) for reporting trends and performance metrics.
• Previous exposure to hybrid or remote work environments, demonstrating self‑discipline and effective time management.
• Multilingual abilities, particularly in Spanish or Mandarin, to better serve a diverse advisor base.

Core Skills and Competencies – What Sets Top Performers Apart

• Customer Service Mindset: A genuine desire to help advisors succeed, paired with the patience to guide them through procedural nuances.
• Organizational Discipline: Ability to prioritize multiple requests, meet tight deadlines, and maintain a well‑structured case pipeline.
• Adaptability: Comfort navigating evolving regulatory landscapes and embracing technology enhancements that streamline workflows.
• Integrity & Ethics: Unwavering commitment to confidentiality, data security, and the highest ethical standards.
• Continuous Learning: Proactive pursuit of industry knowledge, certifications, and professional development opportunities.

Career Growth – Your Pathway to Leadership and Expertise

Commonwealth invests heavily in people. As you excel in the Account Review Associate role, you’ll unlock a clear trajectory toward senior supervisory positions, compliance leadership, or specialized advisory services. Our internal mobility program encourages cross‑departmental experiences, while tuition reimbursement and mentorship initiatives equip you with the tools to achieve your long‑term career aspirations.

Whether you aim to become a Senior Account Supervisor, a Compliance Analyst, or even transition into Business Development, the foundation you build here will be instrumental. We also sponsor industry conferences, certification exams, and internal training series to keep you at the cutting edge of financial regulation and technology.

Benefits & Perks – More Than Just a Salary

We recognize that a rewarding career is built on a holistic package that supports both professional ambition and personal wellbeing. While exact compensation will reflect experience and market benchmarks, you can expect a competitive base salary complemented by the following comprehensive benefits:

• Health & Wellness: Premium medical, dental, and vision coverage, plus a flexible Health Savings Account (HSA) and tele‑health services.
• Retirement Planning: Robust 401(k) matching program and access to financial planning resources.
• Performance Bonuses: Annual incentive plans tied to individual and company performance metrics.
• Paid Time Off: Generous vacation, sick leave, and holidays, plus additional days for wellness and community service.
• Professional Development: Tuition reimbursement, certification exam fees, and internal learning portals.
• Hybrid Work Flexibility: A balanced schedule that combines remote work days with collaborative office time, supporting work‑life harmony.
• Employee Assistance Programs: Confidential counseling, legal guidance, and financial advisory services for you and your family.
• Community & Culture: Regular team‑building events, volunteer initiatives, and recognition programs that celebrate achievements and diversity.

Our Culture – The Commonwealth Way

At Commonwealth, we’re proud of a culture that emphasizes inclusion, empowerment, and celebration. We believe that when people feel respected, valued, and heard, they bring their best ideas to the table. Our diversity, equity, and inclusion (DEI) program is intentionally designed to attract talent from all backgrounds, foster authentic dialogue, and create pathways for advancement.

We also champion a spirit of fun. From monthly “Lunch & Learn” sessions featuring industry thought leaders to quarterly awards ceremonies and community outings, there’s always an opportunity to connect, learn, and enjoy the journey together.

The Fine Print – Transparency and Trust

We take your safety seriously. Commonwealth will never ask you to pay fees or transfer money as part of the hiring process. All communications will be conducted through official company channels, and our recruiters will always be reachable via verified contact information.

We are an Equal Opportunity Employer committed to building a workforce that reflects the rich diversity of the communities we serve. All qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Ready to Join a Winning Team?

If you are a motivated, detail‑oriented professional who thrives in a collaborative, fast‑paced environment, we invite you to take the next step in your career with Commonwealth Financial Network. This is more than a job—it’s a chance to shape the future of financial advising while advancing your own professional growth.

Apply today and become part of a legacy of excellence, innovation, and unwavering support. We look forward to reviewing your application and discovering how your unique talents can contribute to our shared success.

How to Apply

Click the link below to submit your resume, cover letter, and any relevant certifications. Our recruitment team will review your materials promptly and reach out to schedule a conversation.