Regional Director of Compliance & Advisor Partnerships

Cambridge Investment Research, Inc.; Phoenix (AZ); On-site; USD 120,000 - 160,000; Full time

Benefits offered by this job

Medical benefits

Vision benefits

Dental benefits

Life insurance

Disability insurance

Vacation and sick leave

401(k) matching

Paid holidays

Job summary

Cambridge Investment Group is seeking a Regional Director to provide supervisory compliance and relationship management support within the Advocacy and Supervision department. This role partners with leadership to ensure activities align with firm policies and regulatory requirements, balancing flexibility with accountability in a high-performing environment.

The ideal candidate has strong judgment, service orientation, and the ability to collaborate across teams while driving program

Qualifications

• Five or more years of related experience in financial services, relationship management, compliance, or a related field.
• FINRA Series 7 and 24 licenses are required.
• Series 63 or 65, and 51 or 53 licenses are preferred but not required.
• Strong understanding of supervisory review, regulatory documentation, licensing requirements, and escalation practices.
• Proficiency with Microsoft Office and Adobe Acrobat required; experience with Tableau or similar reporting tools preferred.
• Ability to travel approximately 8-10 weeks per year for supervisory office visits and related business needs.

Responsibilities

• 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, correspondence, 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, departmental procedures, regulatory requirements, and firm policy.
• Leverage data, reporting tools, and responsible technology adoption to identify needs, support process improvement, and deliver practical solutions.
• Work in partnership with team members across the firm on strategic projects, initiatives, and service improvements as needed.
• Interface internally and externally in a professional and courteous manner to support common goals and ensure timely communication of priorities and status updates.

Skills

FINRA Series 7

FINRA Series 24

Relationship management

Compliance

Communication

Data analysis

Travel readiness

Tools

Microsoft Office

Adobe Acrobat

Tableau

Job description

Cambridge Investment Group is seeking a Regional Director to provide supervisory compliance and relationship management support within the Advocacy and Supervision department. This role partners with leadership to ensure activities align with firm policies and regulatory requirements, balancing flexibility with accountability in a high-performing environment.

The ideal candidate has strong judgment, service orientation, and the ability to collaborate across teams while driving program