Senior Data Governance Compliance Analyst at Commonwealth Financial Network LLC

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 Data and Analytics 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 senior data governance compliance analyst to join our ranks. We are seeking an experienced, Senior Compliance Data Governance Analyst to join our dynamic Data and Analytics Team. The ideal candidate will have at least 5 years of experience in compliance, with a strong focus on data and/or data governance. This is a new role within the organization, requires a deep general understanding of NY DFS, SEC, FINRA, and other rules and regulations, along with excellent communication skills to effectively engage with business and IT stakeholders across the organization.

Key Responsibilities

• Work with Compliance and Legal to review and interpret SEC, FINRA, and Government regulations such as NY DFS and data retention rules to ensure organizational compliance
• Develop and implement data governance policies and procedures in line with regulatory requirements
• Collaborate with various departments to identify data management needs and establish best practices for data usage and reporting
• Analyze and report on compliance data, providing insights and recommendations to enhance compliance strategies
• Communicate complex compliance issues and data governance concepts to both technical and non-technical stakeholders clearly and effectively
• Conduct training sessions and workshops to raise awareness of compliance and data governance standards within the organization
• Work with compliance and legal as they monitor changes in regulations and industry standards to proactively adapt compliance strategies
• May be asked to participate in audits and compliance assessments, providing support and documentation as needed

Core Strengths and Skills

• Minimum of 5 years of experience in compliance, data governance, or a related field, preferably within the financial services industry
• Strong General knowledge of NYDFS, SEC and FINRA rules and regulations, with a proven ability to apply them in a practical context
• Comfortable working independently and helping dictate how Commonwealth implements ongoing compliance initiatives around data
• Excellent analytical skills, with the ability to interpret complex data and provide actionable insights
• Exceptional communication skills, with a demonstrated ability to engage with stakeholders at all levels of the organization
• Strong attention to detail and a commitment to maintaining high standards of accuracy and quality in all work
• Preferred, bachelor’s degree in Finance, Business Administration, Information Systems, or a related field

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.