Account Review Specialist

Cambridge Investment Research, Inc.; Phoenix (AZ); Hybrid; USD 65,000 - 85,000; Full time

Benefits offered by this job

Premium benefits

Vacation/Sick time

401K matching

Paid holidays

Job summary

Cambridge Investment Research, Inc. is seeking an Account Review Specialist to support compliance processes by reviewing account documentation and ensuring alignment with internal and external regulations.

You will communicate policies to advisors, identify potential violations, and escalate concerns to leadership while maintaining professional client interactions. The role emphasizes attention to detail, collaborative teamwork, and handling sensitive information with discretion.

Qualifications

• Ability to interpret policies, procedures, and business documentation.
• Ability to manage confidential information responsibly.
• Strong attention to detail and organizational skills.
• Excellent written and verbal communication skills.
• Effective problem-solving and analytical skills.
• Works well in a collaborative team environment.

Responsibilities

• Review account documentation to support compliance processes.
• Identify potential policy violations and elevate concerns to leadership.
• Respond to inquiries via phone, email, voicemail, and in-person as needed.
• Research industry rules, regulations, and compliance requirements.
• Monitor and support RIA communications and documentation.
• Develop knowledge of industry compliance standards and best practices.
• Handle sensitive information with discretion and professionalism.
• Participate in departmental projects and cross-training.

Skills

Policy interpretation

Confidential data handling

Attention to detail

Written and verbal communication

Problem solving

Team collaboration

Job description

Job Summary

Key Deliverables and Responsibilities

As an Account Review Specialist, you will play an important role in reviewing account documentation, supporting compliance processes, and helping ensure adherence to internal and external regulatory requirements.

This position offers an excellent opportunity for a detail-oriented professional who enjoys problem-solving, collaborating with others, and contributing to a high-performing team environment.

What You’ll Do

• Communicate policies and procedures to advisors and associates while helping maintain regulatory compliance.

• Identify potential policy violations and elevate concerns to leadership when appropriate.

• Respond to phone, email, voicemail, and occasional in-person inquiries in a professional and timely manner.

• Research industry rules, regulations, and compliance requirements.

• Monitor and support registered investment advisory (RIA) communications and documentation.

• Develop and maintain knowledge of industry compliance standards, regulations, and best practices.

• Handle sensitive and confidential information with discretion and professionalism.

• Participate in departmental projects and cross-training opportunities as needed.

What We Are Looking For

• Ability to interpret policies, procedures, and business documentation.

• Ability to manage confidential information responsibly.

• Strong attention to detail and organizational skills.

• Excellent written and verbal communication skills.

• Effective problem-solving and analytical skills.

• Works well in a collaborative team environment

Preferred Qualifications

• Experience in financial services, operations, compliance, or account processing.

• Familiarity with investment advisory or brokerage industry practices.

• Experience working in a fast-paced, service-oriented environment.

Location: Fairfield, IA or Phoenix, AZ (hybrid attendance model)

Why Cambridge?

Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.

• Premium benefit package including medical, vision, dental, life and long-term disability insurance

• Vacation/sick time

• 401K retirement plan with company matching program

• Eleven paid holidays

You can find more details about our comprehensive benefits packagehere.

Cambridge Overview:

Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country. Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.