Senior Compliance Examiner

Cambridge Investment Research, Inc.; Phoenix, Northern (AZ, KY); Hybrid; USD 90,000 - 120,000; Full time

Benefits offered by this job

Medical, vision, dental coverage

401K with company matching

Eleven paid holidays

Vacation/sick time

Long-term disability insurance

Job summary

Cambridge Investment Group, Inc. is seeking a Senior Compliance Examiner to lead audit initiatives within the Compliance department. The role includes on-site audits of financial professional offices, process improvements, and coaching team members.

The ideal candidate will hold FINRA Series 7, 24, 63 (and 65 or 66), bring 4+ years of experience, and demonstrate strong regulatory knowledge, analytical skills, and travel readiness to support offices nationwide.

Qualifications

• Four or more years of related experience, education, and/or training.
• Strong knowledge of financial services compliance, regulatory requirements, and audit practices.
• Excellent written and verbal communication skills.

Responsibilities

• Lead the planning, development, and implementation of strategic Compliance department initiatives.
• Conduct on-site and virtual audits of financial professional offices, including coordinating visits and arranging travel.
• Monitor adherence to policies and regulations; communicate regulatory updates and alert management to potential violations.
• Provide guidance and training to team members on audit deficiencies and resolutions.
• Deliver timely written audit reports and follow-ups to management and offices.

Skills

Regulatory compliance

Analytical thinking

Communication skills

Organization/time management

Travel readiness

Job description

## Senior Compliance ExaminerApply: On-Site: Phoenix, AZ: Fairfield, IA: Full time: Posted Yesterday: R-2025-252# **Job Summary**Cambridge Investment Group, Inc. is seeking a Senior Examiner to support the daily functions and activities of the Compliance department. Working under the direction of Compliance Leadership, this role leads strategic initiatives, conducts on-site audits of financial professional offices, strengthens department processes, supports team development, and helps ensure adherence to internal policies and industry regulations.# **Key Deliverables and Responsibilities*** Lead the planning, development, and implementation of strategic Compliance department initiatives.* Develop and implement streamlined procedures that improve processes, and train team members on updated procedures as needed.* Conduct on-site and virtual audits of financial professional offices, including planning audit routes, scheduling visits, and arranging flights, hotels, and rental cars.* Monitor adherence to internal policies, procedures, rules, and regulations; communicate regulatory updates to financial professionals; and alert management to potential violations.* Support team members by facilitating training and providing guidance on escalated audit deficiencies through resolution.* Deliver responsive Compliance support to management, company associates, and financial professionals, tracking open issues and following up consistently to ensure resolution.* Communicate pre- and post-audit results to management and the financial professional or branch through timely, formal written reports, and follow up to confirm that concerns are corrected within the specified timeframe.* Maintain current knowledge of compliance regulations and industry topics, and complete continuing education required for FINRA licenses. # **What We Are Looking For*** FINRA Series 7, Series 24, Series 63, and either Series 65 or Series 66 licenses.* Four or more years of related experience, education, and/or training.* Strong knowledge of financial services compliance, regulatory requirements, and audit practices.* Excellent analytical and critical-thinking skills, with the ability to identify risk, assess deficiencies, and recommend practical solutions.* Clear, professional written and verbal communication skills, including the ability to explain regulatory requirements and document audit findings.* Strong organization, planning, and time-management skills, with the ability to manage multiple audits, deadlines, travel arrangements, and follow-up activities.* Sound judgment, attention to detail, and discretion when handling sensitive or confidential information.* Ability to work independently, make informed decisions, and escalate potential compliance concerns appropriately.* Effective collaboration, coaching, and facilitation skills to support team development and guide others through issue resolution.* A process-improvement mindset and the ability to develop and implement efficient procedures.* Flexibility and willingness to travel to financial professional offices as required.* Valid driver’s license. # **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 holidaysYou can find more details about our comprehensive benefits package here.