Senior Compliance & Trade Oversight Principal

Cambridge Investment Research, Inc.; Phoenix (AZ); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

Premium benefits package

Vacation and sick time

401K with company match

Eleven paid holidays

Job summary

Cambridge Investment Research, Inc. seeks an Advocacy and Supervision Principal to join the Advocacy and Supervision department.

This role reviews, analyzes, and approves daily transactions and account activity to ensure adherence to firm policies, clearing firm requirements, and regulatory standards. The ideal candidate balances service with sound supervisory judgment and manages complex risk considerations.

Qualifications

• 2+ years of related experience in supervision, compliance, brokerage operations, financial services, or a related field.
• FINRA Series 7 and Series 24 licenses are required.

Responsibilities

• Review, analyze, and approve daily transactions and account activity.
• Provide oversight of OSJ approval trades and brokerage transactions for professionals reporting to the home office.
• Identify risk and escalate potential violations or concerns.
• Assist with training programs and materials for financial professionals.

Skills

Supervision

Compliance

Brokerage operations

Tools

FINRA licenses

Job description

Cambridge Investment Research, Inc. seeks an Advocacy and Supervision Principal to join the Advocacy and Supervision department.

This role reviews, analyzes, and approves daily transactions and account activity to ensure adherence to firm policies, clearing firm requirements, and regulatory standards. The ideal candidate balances service with sound supervisory judgment and manages complex risk considerations.