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Commonwealth Financial Network Manager, Business Continuity in Waltham, Massachusetts

Our Enterprise Risk Management team is looking to bring on a manager of business continuity—someone with strong relationship-building and influencing skills, balanced with vision and the ability to innovate. Reporting to the chief risk officer, you will be responsible for establishing, leading, and managing initiatives related to business continuity and privacy.

These initiatives include governance and compliance activities associated with effectively managing and developing the Business Continuity program, as well as executing an overall risk management process. As the manager, you will be responsible for mitigating risks and protecting the environment.

The right candidate for this opportunity is a self-starter who is both highly motivated and technically adept. Your days will have you providing comprehensive oversight and managing compliance and risk efforts to meet the company’s business objectives. You will also assist in ensuring that the Business Continuity program is maintained at suitable levels of compliance to applicable laws and regulations and adherence to Commonwealth policies.

Key responsibilities

  • Effectively managing and continuously improving operational processes that align to ISO 31000, DRII, and federal and state laws

  • Developing and maintaining all relevant documentation, policies, procedures, standards, and work instructions for embedding controls into daily ways of working

  • Facilitating the management and reporting of risks identified through various risk assessments, including risk treatment plans and execution to reduce risk to an acceptable level; identifying, implementing, and managing additional controls as part of business continuity

  • Evaluating the impact of new and changing legal and regulatory requirements that may affect Commonwealth; identifying potential gaps within the programs and communicating with affected policy and process owners to create a mitigation plan

  • Ensuring that roles and responsibilities are understood at every level in the organization; evangelizing business continuity

  • Collaborating with all business and technology areas to implement program controls at various layers as part of continuous integration

  • Maintaining current knowledge of the business continuity fields and the changing threat landscape while implementing improvements in both operational and compliance domains; mitigating risks identified as part of the risk management process

  • Providing oversight and management of business continuity testing to ensure that controls are adequate to meet legal, regulatory, policy standards, and security requirements

  • Providing guidance to the Vendor Management team on requirements for third parties

Core strengths

  • Demonstrated ability to work under pressure and maintain composure during high-stress situations

  • Strong verbal and written communication skills and public speaking abilities

  • Ability to communicate industry standards, best practices, testing techniques, and the interpretation of assessment and testing/certification results to management

  • Hands-on experience in a broker/dealer or any other regulated environment (preferably a combination of business continuity and risk management)

  • Expertise in technical and business environments, familiarity with SEC and FINRA requirements, experience with business continuity, disaster recovery, privacy, risk management, cybersecurity, and incident management

  • Current CBCP (or equivalent)

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

About Commonwealth—and Our Anything but Common® Culture

Commonwealth Financial Network® is the largest privately held Registered Investment Adviser–independent broker/dealer in the U.S., with offices in Waltham, Massachusetts, and San Diego, California. Since 1979, we’ve been delivering indispensable service to independent financial professionals so they, in turn, can put their clients first. Our technology, research, resources, and support—plus a variety of affiliation models—deliver what today’s independent advisors need to thrive.

That being said, we are a financial services company with a unique mission—one that encompasses purpose, vision, and core values in equal measure. Staying true to these guiding principles is the reason we are recognized so often and by so many for the quality of life we enjoy here. We believe it directly translates to a better experience for everyone: employees, advisors, clients, and our communities.

Creating a supportive culture where everyone can thrive is a mission we take seriously. From professional development to comprehensive benefits, grassroots leadership opportunities, generous bonus and stock option incentive plans, opportunities to unwind and connect, and so much more, Commonwealth is not just a great place to work—it’s a place that, for many, feels like home.

Commonwealth Financial Network® is an equal opportunity employer that is committed to a diverse workforce.

ID: W-2019-JD

External Company Name: Commonwealth Equity Services, Inc.

External Company URL:

Street: 29 Sawyer RD