Principal, Financial Compliance & Oversight

Cambridge Investment Research, Inc.; Phoenix (AZ); Hybrid; USD 110,000 - 150,000; Full time

Benefits offered by this job

Medical, Vision, Dental Insurance

401K with company match

Eleven paid holidays

Vacation and Sick Time

Job summary

Cambridge Investment Research, Inc. is hiring an Advocacy and Supervision Principal in a hybrid role based in Phoenix, AZ (or Fairfield, IA). The position focuses on reviewing, analyzing, and approving daily brokerage and advisory activity to ensure adherence to firm policies and regulatory standards.

The role requires 2+ years in supervision or compliance, and FINRA Series 7 and 24 licenses. It emphasizes risk assessment, independent recommendations, and collaboration with financial

Qualifications

• 2+ years of related experience in supervision, compliance, brokerage operations or financial services.
• FINRA Series 7 and Series 24 licenses required.

Responsibilities

• Review, analyze, and approve daily transactions across mutual funds, variable annuities, variable life, 529 plans, and DPPs/REITs.
• Review client information, suitability forms, new account docs, sponsor applications, third-party manager agreements, and advisory paperwork for completeness and accuracy.
• Provide oversight of OSJ approval trades and brokerage account activity for financial professionals under the home office.
• Use compliance engines, dual platforms, clearing firm reports, and custom tools to conduct supervisory reviews and flag escalations.
• Research complex inquiries, assess risk, and make independent recommendations while collaborating with professionals and internal partners.
• Ensure adherence to firm and clearing firm policies and regulatory requirements; escalate potential violations as needed.
• Offer courteous problem-solving support for calls, voicemails, emails, and occasional in-person inquiries from financial professionals and staff.
• Assist in developing and delivering training materials for new and existing professionals, including phone training and workshops.

Education

Supervision/Compliance

Job description

Cambridge Investment Research, Inc. is hiring an Advocacy and Supervision Principal in a hybrid role based in Phoenix, AZ (or Fairfield, IA). The position focuses on reviewing, analyzing, and approving daily brokerage and advisory activity to ensure adherence to firm policies and regulatory standards.

The role requires 2+ years in supervision or compliance, and FINRA Series 7 and 24 licenses. It emphasizes risk assessment, independent recommendations, and collaboration with financial