Senior Financial Compliance & Supervision Lead

Cambridge Investment Research, Inc.; Fairfield (IA); Hybrid; USD 90,000 - 120,000; Full time

Benefits offered by this job

Premium benefits package

Vacation/sick time

401K with company match

Eleven paid holidays

Job summary

Cambridge Investment Research, Inc. is seeking 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 and regulatory standards. The ideal candidate brings strong supervisory judgment, risk assessment skills, and experience in supervision or compliance, with FINRA Series 7 and 24 licenses; hybrid work in Phoenix, AZ or Fairfield, IA.

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.
• Location: Phoenix, AZ or Fairfield, IA with hybrid attendance (in-office 3 days/week).

Responsibilities

• Review, analyze, and approve daily transactions across funds and products for compliance.
• Assess client information and documentation for completeness and accuracy.
• Provide oversight of OSJ trades and brokerage transactions for associated professionals.
• Use compliance tools and reports to conduct supervisory reviews and escalation as needed.
• Research complex questions, assess risk, and provide independent recommendations.
• Inform management of potential violations or concerns and ensure policy adherence.
• Provide problem-solving support for inquiries from financial professionals and staff.
• Assist with training programs and materials for new and existing professionals.

Skills

Regulatory compliance

Financial services

Supervisory judgment

Risk assessment

Documentation review

Training delivery

Client communication

Education

Experience in supervision/compliance

Job description

Cambridge Investment Research, Inc. is seeking 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 and regulatory standards. The ideal candidate brings strong supervisory judgment, risk assessment skills, and experience in supervision or compliance, with FINRA Series 7 and 24 licenses; hybrid work in Phoenix, AZ or Fairfield, IA.