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Commonwealth Financial Network Attorney in Waltham, Massachusetts

Commonwealth’s Legal team is passionate about innovating, solving problems, and making an impact—and we’re looking for an attorney who shares these same goals. Our team sets the bar high and strives to consistently provide indispensable service to our network of independent financial advisors and in-house business partners. We are part of a community that values hard work, as well as work/life balance, and we’re committed to giving back to our surrounding communities. If these qualities resonate with you, and you’ve got the background and experience required to excel as a regulatory attorney, then let’s talk.

Key Responsibilities

  • Assisting senior attorneys in our group concerning a broad range of financial services industry issues, including registered investment adviser (RIA) and broker/dealer legal research and projects as well as various regulatory matters

  • Providing specific support for key regulatory issues under the Investment Advisers Act of 1940, Regulation Best Interest, and related fiduciary standard rules

  • Acting as a liaison with the firm’s Compliance department and assisting with the implementation of select policies and procedures

  • Tracking SEC, FINRA, DOL, and state regulatory proposals that affect the financial services industry and providing written analysis to senior leadership

  • Participating on project teams; providing guidance on regulatory issues and general legal topics

Core Strengths

  • Superb written and verbal communication skills

  • Proven ability to manage multiple projects, meet deadlines, and thrive in a fast-paced business and legal environment

  • Creative problem-solving skills, attention to detail, and intellectual curiosity

Additional Skills and Knowledge

  • JD from an accredited law school

  • 3+ years of relevant regulatory experience at a major U.S. law firm or within an in-house legal department

  • Knowledge of broker/dealer and RIA operations, as well as the applicable federal securities laws and regulations, FINRA, and MSRB rules a plus

  • Active membership and good standing with the state bar in which you are currently residing

Have we piqued your curiosity? Can you see yourself thriving in this opportunity? Let’s introduce ourselves.

Picture Yourself Here

Imagine keeping company with big thinkers and even bigger doers who share a common purpose to make a profound difference. Figure in an experience-it-to-believe-it culture, massive growth potential, and benefits galore, and you get the full impression.

We are committed to providing a supportive, equitable environment where you can bring your full, authentic self to your work every day and truly thrive in meaningful ways—personally and professionally. At Commonwealth, everyone plays a part in our success story. And in building a more diverse and inclusive workplace, we are broadening our perspectives and capabilities. Together, our potential is limitless. We invite you to join us on the path to a brighter future!

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. J.D. Power ranks Commonwealth “#1 in Independent Advisor Satisfaction Among Financial Investment Firms, Seven Times in a Row.” 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, so our employees genuinely enjoy coming to work. Our refreshing workplace culture has earned us 43 Best Place to Work awards—and counting.

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 the very best talent from all backgrounds.

ID: W-2021-107

External Company Name: Commonwealth Equity Services, Inc.

External Company URL: http://www.commonwealth.com/Homecfn.aspx

Street: 29 Sawyer RD

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