Regional Director, Compliance & FP Partnerships

Cambridge Investment Research; United States; À distance; USD 110 000 - 170 000; Plein temps

Avantages offerts par ce poste

Medical, Vision, Dental, Life

Long-term disability insurance

Vacation/Sick time

401K retirement plan with companyMatch

Eleven paid holidays

Résumé du poste

Cambridge Investment Group is seeking a Regional Director to provide supervisory compliance and relationship management support within the Advocacy and Supervision department. The role focuses on ensuring activities comply with firm policies and regulatory requirements while building strong partnerships with Financial Professionals nationwide.

Ideal candidates bring strong judgment and service orientation, balancing flexibility and accountability in a collaborative environment.

Qualifications

• Five or more years of related experience in financial services, relationship management, or compliance.
• FINRA Series 7 and 24 licenses are required; Series 63 or 65 and 51 or 53 preferred but not required.
• Proficiency with Microsoft Office and Adobe Acrobat; Tableau or similar reporting tools preferred.

Responsabilités

• Supervise securities activities by reviewing sales activity, regulatory documentation, and supervisory items.
• Serve as escalation contact for OSJ Supervisors, Financial Professionals, and internal partners.
• Plan regular visits to Financial Professional offices and strengthen partnerships.
• Interface professionally to communicate policies, procedures, and services; deliver practical solutions.

Connaissances

Relationship management

Regulatory compliance

Financial services experience

Data reporting tools

Microsoft Office

Adobe Acrobat

Tableau

Travel readiness

Communication skills

AI / automation usage

Problem solving

Outils

Tableau

Microsoft Office

Adobe Acrobat

Description du poste

Cambridge Investment Group is seeking a Regional Director to provide supervisory compliance and relationship management support within the Advocacy and Supervision department. The role focuses on ensuring activities comply with firm policies and regulatory requirements while building strong partnerships with Financial Professionals nationwide.

Ideal candidates bring strong judgment and service orientation, balancing flexibility and accountability in a collaborative environment.