Advisory Operations Platform Principal

Other jobs >> General





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 Platform 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 

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 

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. Where you can be yourself and belong. Where you can build a career and find community. 

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. Come join us on the pathway 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 candidates from all backgrounds.  


  • 1
  • Negotiable
  • None
  • None
  • Re-181099
  • Permanent
  • 1

How to Apply: Please click here to create a free account and post your resume. Only logged in job seekers can apply for a job.

Find us at:

Never provide bank account, credit card details or any other financial information, or make any form of payment, when applying for a job. If you are ever asked to do this by a recruiter on Pure Jobs please click the Report button or contact us with the advertiser's company name and the title of the job vacancy. You should not send any money to anyone. A genuine employer with a job offer would never ask you to do this.

Report this job

Report a job

If you're concerned about a job advert, let us know and our quality team will investigate.

Your name(*)
Invalid Input

Your email address(*)
Invalid Input

Please select you reason(*)

Additional information(*)
Invalid Input

Invalid Input

Get new jobs for this search by email.

Also get an email with jobs recommended just for me.

Create Alert

Subscribe to updates from our blog