Regulatory & Risk Principal - Hybrid (IA/AZ)

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

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.