Hybrid Compliance & Account Review Specialist

Cambridge Investment Research; Fairfield (IA); Hybrid; USD 50,000 - 70,000; Full time

Benefits offered by this job

Medical Insurance

Vision Insurance

Dental Insurance

Life Insurance

Long-term Disability

401K Match

Paid Holidays

Paid Time Off

Job summary

Cambridge Investment Research is seeking an Account Review Specialist to support compliance processes by reviewing account documentation and communicating policies to advisors and associates. You will help identify policy violations and escalate concerns to leadership, while handling inquiries with professionalism.

The role requires strong attention to detail, excellent communication, and collaborative problem-solving in a hybrid environment.

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.
• Experience in financial services or compliance is preferred.
• Familiarity with investment advisory or brokerage industry practices (preferred).

Responsibilities

• Communicate policies and procedures to advisors and associates while helping maintain regulatory compliance.
• Identify potential policy violations and escalate concerns to leadership when appropriate.
• Respond to phone, email, voicemail, and 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.

Skills

Attention to detail

Written & verbal communication

Analytical/problem-solving

Team collaboration

Tools

CRM systems

Job description

Cambridge Investment Research is seeking an Account Review Specialist to support compliance processes by reviewing account documentation and communicating policies to advisors and associates. You will help identify policy violations and escalate concerns to leadership, while handling inquiries with professionalism.

The role requires strong attention to detail, excellent communication, and collaborative problem-solving in a hybrid environment.