Advisor Liaison & Compliance Lead

Cambridge Investment Research, Inc.; West Des Moines, Northern (IA, KY); Hybrid; USD 75,000 - 95,000; Full time

Job summary

Cambridge Investment Research, Inc. is seeking an Advisor Liaison in the United States to serve as the primary contact between Cambridge and affiliated financial professionals.

You will coordinate policy communication, oversee compliance with sales activities, and drive operational excellence across the Jordan Creek network. Responsibilities include partnering with supervisors, reviewing daily business for compliance, and guiding advisors through strategy changes.

Qualifications

• 3+ years of related experience and/or training.
• Series 99 license required; Series 7 and/or Series 24 preferred.
• Strong judgment, problem-solving, communication, presentation, planning, and relationship-management skills.
• Ability to interpret financial reports, regulatory guidance, policies, procedures, and legal or technical information.

Responsibilities

• Partner with OSJ Supervisors and financial professionals to communicate policies and procedures, share Cambridge information, and strengthen advisor relationships.
• Supervise personal securities activity and review or approve sales activity and correspondence; escalate as needed.
• Identify advisor needs using data, responsive service, and follow-through.
• Review, analyze, and approve daily new business and support account paperwork and system updates.
• Lead process improvements and track escalated issues through resolution.
• Provide guidance on business strategy, industry changes, and branch growth; conduct visits and training.
• Collaborate on strategic projects and reinforce internal policies and regulatory requirements.

Skills

Relationship management

Communication

Problem solving

Presentation

Planning

Series 99 license

Series 7 license (preferred)

Series 24 license (preferred)

Job description

Cambridge Investment Research, Inc. is seeking an Advisor Liaison in the United States to serve as the primary contact between Cambridge and affiliated financial professionals.

You will coordinate policy communication, oversee compliance with sales activities, and drive operational excellence across the Jordan Creek network. Responsibilities include partnering with supervisors, reviewing daily business for compliance, and guiding advisors through strategy changes.