Senior Compliance Auditor & Process Improvement Lead

Cambridge Investment Research

United States

Remote

USD 90,000 - 120,000

Full time

8 days ago

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Job summary

Cambridge Investment Group, Inc. seeks a Senior Examiner to support the Compliance department's daily operations. The role leads strategic initiatives, conducts on-site audits of financial professional offices, and ensures adherence to internal policies and industry regulations.

Required FINRA licenses (Series 7, 24, 63, and either 65 or 66), 4+ years of related experience, and strong regulatory knowledge. The position involves travel to offices as needed and contributes to training and process

Qualifications

Minimum 4 years of related experience, education, and/or training.
Strong knowledge of financial services compliance, regulatory requirements, and audit practices.
Clear, professional written and verbal communication skills, including the ability to explain regulatory requirements and document audit findings.
Ability to work independently, manage multiple audits, deadlines, and travel arrangements.

Responsibilities

Lead planning, development, and implementation of strategic Compliance initiatives.
Conduct on-site and virtual audits of financial professional offices and coordinate travel logistics.
Monitor adherence to internal policies and communicate regulatory updates to financial professionals.
Provide guidance and training to team members and track issue resolutions to closure.
Prepare formal audit reports and ensure timely follow-up and corrective actions.