Senior Compliance Auditor & Strategy Lead

Cambridge Investment Research, Inc.; United States; Remote; USD 90,000 - 130,000; Full time

Benefits offered by this job

Medical, Vision, Dental, Life, LTD

Vacation/Sick time

403K/Retirement with company match

Eleven paid holidays

Job summary

Cambridge Investment Group, Inc. is seeking a Senior Examiner to support the Compliance department’s daily functions and strategic initiatives.

The role leads audits of financial professional offices, improves processes, and supports team development while ensuring adherence to internal policies and industry regulations. The Senior Examiner will conduct on-site and virtual audits, coordinate travel, train staff, and communicate audit findings through formal reports.

Qualifications

• FINRA licenses (Series 7, Series 24, Series 63, and Series 65 or 66) are required.
• 4+ years of related experience, education, and/or training.
• Strong knowledge of financial services compliance and audit practices.
• Excellent analytical and critical-thinking skills; ability to identify risk and recommend solutions.
• Clear, professional written and verbal communication skills.
• Ability to manage multiple audits, deadlines, travel arrangements, and follow-up activities.
• Discretion with confidential information.
• Ability to work independently and elevate compliance concerns appropriately.
• Effective collaboration and coaching to support team development.
• Process-improvement mindset and ability to implement efficient procedures.
• Willingness to travel to financial professional offices.

Responsibilities

• Lead planning, development, and implementation of strategic Compliance initiatives.
• Develop streamlined procedures and train team members on updates.
• Conduct on-site and virtual audits of financial offices, including travel logistics.
• Monitor adherence to policies and regulations; communicate updates and flag violations.
• Support team by guiding audit deficiencies through resolution.
• Provide responsive compliance support to management, associates, and professionals; track and follow up on open issues.
• Present audit results to management and branches with formal written reports and follow-ups.
• Maintain knowledge of compliance regulations and complete continuing education for FINRA licenses.

Skills

Audit knowledge

Regulatory compliance

Analytical thinking

Written and verbal communication

Travel readiness

Job description

Cambridge Investment Group, Inc. is seeking a Senior Examiner to support the Compliance department’s daily functions and strategic initiatives.

The role leads audits of financial professional offices, improves processes, and supports team development while ensuring adherence to internal policies and industry regulations. The Senior Examiner will conduct on-site and virtual audits, coordinate travel, train staff, and communicate audit findings through formal reports.