Regulatory & Risk Principal

Eneric Petroleum Corp.; Fairfield (IA); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

Medical, vision, dental, life and long

401K retirement plan with company-ming

Vacation/sick time

Eleven paid holidays

Job summary

Cambridge is seeking a Regulatory & Risk Principal to shape how regulatory, supervisory, and operational risk responsibilities are managed across Service Experience. This hybrid role sits at the intersection of service, compliance, risk, operations, trading, and technology, influencing improvements for professionals, clients, and associates.

You will lead regulatory examinations coordination, translate complex requirements into practical processes, and drive root-cause analyses to deliver

Qualifications

• 7+ years of financial services experience in supervision, compliance, operations, regulatory oversight, trading, risk, or a related function.
• Strong judgment balancing regulatory requirements, operational realities, risk, and customer experience.
• Able to simplify complex information and turn requirements into practical, workable solutions.
• Proactive, solutions-focused mindset with a passion for continuous improvement.

Responsibilities

• 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.

Skills

Regulatory & risk partner

Cross-functional collaboration

Regulatory examinations coordination

Problem solving

Tools

FINRA licenses

Job description

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 do

• 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

• 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 holidays

You 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.