Licensing Specialist - Commonwealth Financial Network

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 Licensing Specialist to join our ranks in greater Cincinnati, Ohio!  Are you interested in building a career in the securities industry? Do people describe you as bright and motivated? If so, this position in our Compliance department as a licensing specialist might be the opportunity you have been looking for. 

This position will have you working directly with Commonwealth’s financial advisors, as well as home office staff, providing assistance on all aspects of the regulatory requirements affecting licensing and registration. Having a strong desire to learn, along with the ability to handle multiple projects in a fast-paced and dynamic work environment—all while paying close attention to the details—will be key to your success.

Key Responsibilities 

• Filing financial advisors’ registrations and licenses with applicable state and federal licensing authorities
• Coordinating the registration and onboarding of new registered representatives, registered assistants, non-registered assistants, and home office employees
• Emphasizing customer service and continuous improvement while ensuring compliance with FINRA and other relevant regulations; submitting and filing individual applications or amendments with FINRA, the SEC, and/or state agencies
• Processing insurance licenses, agent appointments, and renewals with multiple insurance carriers
• Collaborating with other Compliance teams, firm departments, and branch office personnel
• Building relationships with our financial advisors and their staff by consistently providing the highest level of service
• Educating and consulting advisors and staff, as well as Commonwealth employees, on a broad range of Compliance and licensing topics, from policies and procedures to rules and regulations, both verbally and in writing
• Upholding Commonwealth’s legacy of providing indispensable service—a level of service so satisfying that our advisors would never want to be without you
• Assisting with special projects, as needed

 Core Strengths and Skills

• Highly motivated with a desire to grow in the role
• A demonstrated passion for customer service
• Excellent listening and communications skills, both written and verbal
• Great organizational skills
• Ability to multitask while paying close attention to detail
• Aptitude to use multiple systems and follow procedures
• Positive attitude with a strong desire to help others
• Proficiency with Microsoft Office applications
• Ability to work as a member of a team

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 a new office opening soon in greater Cincinnati, 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.