Registration and Licensing Consultant

Cambridge Investment Research, Inc.; Phoenix (AZ); On-site; USD 50,000 - 60,000; Full time

Benefits offered by this job

Paid time off

Medical, dental, and vision coverage

Short- and long-term disability

Job summary

Cambridge Investment Research, Inc. is looking for a Registration & Licensing Consultant in Phoenix, Arizona. This position requires a knowledgeable and service-driven individual who can support financial professionals with registrations and compliance.

The consultant will manage relationships, provide training, and improve processes while ensuring adherence to industry regulations. A comprehensive benefits package is offered, including paid time off and medical coverage.

Qualifications

• Knowledgeable in FINRA, state, and investment advisory registrations.
• Strong interpersonal skills for customer service and relationship management.
• Experience in process improvement initiatives.

Responsibilities

• Consult on registration and licensing processes for financial professionals.
• Deliver training and support during onboarding.
• Lead process improvement initiatives to enhance efficiency.
• Act as a representative and role model for the company.
• Coach associates and provide guidance for professional development.
• Maintain industry knowledge regarding registration compliance.

Skills

Customer Service

Coaching & Mentoring

Relationship Management

Process Improvement

Industry Knowledge

Job description

Responsibilities

We are seeking a knowledgeable and service-driven Registration & Licensing Consultant to support our financial professionals throughout all phases of their affiliation with the firm. This role is responsible for consulting on all aspects of FINRA, state, and investment advisory registrations, as well as insurance appointment processes. The ideal candidate will deliver high-quality customer service and training, foster strong relationships, and ensure compliance with industry regulations.

• Relationship Management: Build and maintain strong, positive relationships with financial professionals by offering comprehensive registration process training during onboarding and providing ongoing support throughout their time with the firm.
• Customer Service: Deliver high-quality customer service by addressing concerns and resolving issues related to registration and licensing processes, while working closely with other departments and external entities as needed.
• Process Improvement: Identify and lead process improvement initiatives, utilizing continuous improvement methods and tools to enhance the efficiency of registration and licensing procedures.
• Leadership & Representation: Act as a positive role model and professional representative of the department and company, participating in cross-divisional committees and task forces when necessary.
• Coaching & Mentoring: Coach and mentor associates, offering guidance on projects and initiatives to foster professional development and positive experiences that contribute to long-term business success.
• Industry Knowledge: Maintain a current working knowledge of key industry topics, policies, and procedures regarding registration requirements to ensure compliance and best practices are followed.

Salary Range

$50,000-60,000. The salary range provided is a good faith estimate based on the ideal candidate’s qualifications, the company’s operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location.

Benefits

Our comprehensive benefits package is designed to support your health, well-being, and work-life balance. We offer paid time off, paid holidays and floating holidays, medical, dental, and vision coverage, short- and long-term disability, and company-paid life insurance. Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support you both personally and professionally.