Regional Director, Compliance & Advisor Partnerships

Cambridge Investment Research, Inc.; United States; Remote; USD 110.000 - 170.000; Vollzeit

Benefits dieser Stelle

Premium benefits package including med

Vacation/Sick time

401K with company match

Eleven paid holidays

Zusammenfassung

Cambridge Investment Group is seeking a Regional Director to provide supervisory compliance and relationship management support within the Advocacy and Supervision department. This role collaborates with leadership to help Financial Professionals operate within firm policies and regulatory requirements while balancing flexibility, accountability, and compliance in a high-performing environment.

The ideal candidate will have strong judgment, service orientation, and the ability to build

Qualifikationen

• Five or more years of related experience, education, and/or training in financial services, relationship management, compliance, or a related field.
• Strong understanding of supervisory review, regulatory documentation, licensing requirements, and escalation practices.
• FINRA Series 7 and 24 licenses are required.
• FINRA Series 63 or 65, and 51 or 53, licenses are preferred but not required.

Aufgaben

• Serve as a trusted resource for Financial Professionals on business strategy, industry changes, branch office growth, and firm resources.
• Plan regular visits to Financial Professional offices, strengthening partnerships with the firm.
• Identify Financial Professionals with growth opportunities and partner with internal teams to develop and implement strategies that support their success.
• Collaborate with Financial Professionals to shape and communicate new policies, procedures, and services.
• Supervise securities activities by reviewing sales activity, regulatory documentation, exception reporting, and related supervisory items.
• Serve as an escalation contact for OSJ Supervisors and designees, Financial Professionals, and internal partners.
• Maintain a strong understanding of company revenue and profitability targets, firm-level goals, industry topics, internal programs, and regulatory requirements.
• Leverage data, reporting tools, and responsible technology adoption to identify needs, support process improvement, and deliver practical solutions.
• Work with team members across the firm on strategic projects, initiatives, and service improvements.

Kenntnisse

Financial services

Relationship management

Compliance

Supervisory experience

Tools

Microsoft Office

Adobe Acrobat

Tableau

Jobbeschreibung

Cambridge Investment Group is seeking a Regional Director to provide supervisory compliance and relationship management support within the Advocacy and Supervision department. This role collaborates with leadership to help Financial Professionals operate within firm policies and regulatory requirements while balancing flexibility, accountability, and compliance in a high-performing environment.

The ideal candidate will have strong judgment, service orientation, and the ability to build