Regulatory & Risk Principal

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

Benefits offered by this job

Premium benefits package includingMed/

Vacation/sick time

401K retirement plan with company

Eleven paid holidays

Job summary

Cambridge Investment Research, Inc. is seeking an experienced Regulatory & Risk Principal to lead regulatory and operational risk responsibilities across Service Experience.

The role sits at the intersection of service, compliance, risk, operations, trading, and technology, with opportunities to drive scalable improvements that benefit Financial Professionals and clients. You will coordinate regulatory exams, translate requirements into practical processes, and perform principal reviews.

Qualifications

• 7+ years of financial services experience in supervision, compliance, operations, regulatory oversight, trading, risk, or a related function.
• Ability to collaborate across business, compliance, legal, risk, operations, and technology teams.
• Strong judgment balancing regulatory requirements with customer experience is essential.

Responsibilities

• Coordinate regulatory examinations, inquiries, information requests, and follow-up activities.
• Translate complex regulatory requirements into practical processes, controls, procedures, and guidance.
• Perform or coordinate required principal reviews and approvals within your assigned responsibilities.
• Identify emerging risks, recurring issues, control gaps, and opportunities for improvement.
• Help teams prepare for regulatory, technology, vendor, and process changes through effective communication and training.

Skills

Regulatory governance

Cross-functional collaboration

Regulatory examinations

Root cause analysis

Communication

Education

FINRA Series 7

FINRA Series 24

FINRA Series 4

FINRA Series 53

Job description

Regulatory & Risk Principal### Regulatory & Risk PrincipalApply: Hybrid: Fairfield, IA: Phoenix, AZ: Posted Yesterday: R-2025-294# **Job Summary**# **Key Deliverables and Responsibilities**Do you enjoy solving complex problems, bringing the right people together, and turning regulatory requirements into practical solutions? We’re looking for an experienced **Regulatory & Risk Principal** to help shape how regulatory, supervisory, and operational risk responsibilities are managed across Service Experience. This highly collaborative role sits at the intersection of service, compliance, risk, operations, trading, and technology**,** with the opportunity to influence improvements that make a meaningful difference for Financial Professionals, clients, and associates. What you’ll doIn this role, you’ll take ownership of complex regulatory and operational matters while helping teams deliver a consistent, effective service experience. You’ll:* Serve as a trusted regulatory and risk partner across Service Experience, Compliance, Legal, Supervision, Risk Management, Operations, Internal Audit, Technology, and other teams.* Coordinate regulatory examinations, inquiries, information requests, and follow-up activities.* Translate complex regulatory requirements into clear, practical processes, controls, procedures, and guidance.* Perform or coordinate required principal reviews and approvals within your assigned responsibilities.* Identify emerging risks, recurring issues, control gaps, and opportunities for improvement.* Help teams prepare for regulatory, technology, vendor, and process changes through effective communication, education, testing, and implementation.* Look beyond individual issues to uncover root causes and develop sustainable solutions.* Identify opportunities to reduce Financial Professional and client friction while improving quality, consistency, efficiency, and scalability.* Bring the right partners together to resolve complex issues, establish clear ownership, and drive solutions through completion.* Partner with clearing firms, vendors, counterparties, and other external partners to manage changes, resolve issues, and maintain strong service and regulatory standards. # **What We Are Looking For**We’re looking for someone who understands the regulatory environment but also sees the bigger picture. You’ll be successful in this role if you bring:* **7+ years of financial services experience** in areas such as supervision, compliance, operations, regulatory oversight, trading, risk, or a related function.* Experience managing complex regulatory, operational, or supervisory responsibilities.* A proven ability to collaborate across **business, compliance, legal, risk, operations, and technology teams.*** Strong judgment and the ability to balance regulatory requirements, operational realities, risk, and the customer experience.* The ability to simplify complex information and turn requirements into practical, workable solutions.* A proactive, solutions-focused mindset with a passion for continuous improvement.* Strong relationship-building and communication skills, particularly when navigating complex or cross-functional issues **Required licenses*** FINRA Series 7* FINRA Series 24* FINRA Series 4* FINRA Series 53 **Locations:** Fairfield, IA and Phoenix, AZ (Hybrid- 3 days onsite) # **Why Cambridge?**Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.* Premium benefit package including medical, vision, dental, life and long-term disability insurance* Vacation/sick time* 401K retirement plan with company matching program* Eleven paid holidaysYou can find more details about our comprehensive benefits package here. # **Cambridge Overview:**Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country. Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.