Compliance 

Approach client challenges with a “yes” mindset. We’re right there with you, offering solutions that benefit you and your investors.

Collaboration and Support Open Up Possibilities

Imagine a compliance department that acts as a strategic partner and ally to the financial advisors it serves. It's a team that helps advisors maneuver around a regulation-filled environment while staying attuned to their unique needs and challenges. And its mission is to empower advisors to excel within the boundaries of regulations. 

This collaborative, commonsense approach to compliance support doesn’t exist just anywhere. It’s here at Commonwealth, and it’s one of the ways we deliver services that help you meet your clients’ needs.

The “Science” of Compliance

As an independent advisor, you should let your goals guide your business.

Our goals are to provide you with the resources and support you need to take care of your clients and to aid you in navigating a complicated regulatory framework. So, what makes our Compliance department different from the rest? 

• We understand that rules and policies are not the same thing. Many firms treat their policies as though they are the actual rules. We understand the differences and look to offer our advisors as much flexibility as we can. 

• We’ve been around. When it comes to compliance, professional maturity is vital. Compliance is complex. We have more than 100 employees backing our advice, and our senior leadership alone has over a century of experience. We’ve “been there, done that.” 

• You can call when you need us. You don’t always work from 9 to 5, so neither do we. You can reach us 12 hours a day. And as many as 200 advisors and support staff routinely experience the value we provide and contact our Compliance team daily.

• We have your back. Your regulatory posture always needs to be up to date, and this is where Commonwealth really shines. We are, in part, educators. We share exam priorities and strategies you can easily implement to help protect your practice. 

• We trust you. For example, communicating with your clients about market-related events promptly is critical. Why wait around for Compliance approval when the rules allow you to post-review certain communications with the public? Never fear—we’ll give you content you can use if you don’t want to create your own. 

• We’re always here for you. A collaborative compliance partnership isn’t a one-and-done deal. We offer continual support—from Day One training to post-affiliation education—to ensure that you have access to the help and expertise you need, when you need it.

Solutions for Success 

We’re on the same page as you, working to find creative solutions to common issues, helping you achieve your goals, and protecting your practice and your clients. Because when you succeed, we all do. Experience the difference for yourself.