Regulatory & Risk Principal

Cambridge Investment Research, Inc.; Fairfield (IA); Hybrid; USD 120,000 - 180,000; Full time

Job summary

Cambridge Investment Research, Inc. is seeking an experienced regulatory and risk professional to lead compliance initiatives across service experience, operations, and technology.

This role will own regulatory examinations, translate complex rules into actionable processes, and partner with Legal, Risk, and Operations to ensure consistent, compliant service delivery. You will coordinate investigations, identify emerging risks, and drive improvements that reduce friction for financial

Qualifications

• 7+ years of financial services experience in supervision, compliance, operations, regulatory oversight, or related functions.
• Experience managing complex regulatory, operational, or supervisory responsibilities.
• Proven ability to collaborate across business, compliance, legal, risk, operations, and technology teams.
• Strong judgment balancing regulatory requirements with operational realities and customer experience.
• Ability to simplify complex information into practical, workable solutions.
• Proactive, solutions-focused mindset with a passion for continuous improvement.
• Strong relationship-building and communication skills, especially across cross-functional issues.

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.
• 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.

Skills

Regulatory compliance

Risk management

Cross-functional collaboration

Regulatory oversight

Communication skills

Job description

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

Job Summary

Key Deliverables and Responsibilities

Do you enjoy solving complex problems, bringing the right people together, and turning 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

Role

In 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.)> Alternative? The list "\
is fine
• 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 holidays

You can find more details about our comprehensive benefits packagehere.

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.