Regulatory & Risk Principal - Hybrid, Impactful Role

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

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