Supervision 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

Key Deliverables and Responsibilities

Cambridge is seeking an Advocacy and Supervision Principal to join the Advocacy and Supervision department. This role is responsible for reviewing, analyzing, and approving daily transactions and account activity while helping ensure adherence to firm policies, clearing firm requirements, and applicable regulatory standards. The ideal candidate is a thoughtful, detail-oriented decision-maker who can assess complex situations, identify potential risk, and balance service with sound supervisory judgment.

Job Summary

Cambridge is seeking an Advocacy and Supervision Principal to join the Advocacy and Supervision department. This role is responsible for reviewing, analyzing, and approving daily transactions and account activity while helping ensure adherence to firm policies, clearing firm requirements, and applicable regulatory standards. The ideal candidate is a thoughtful, detail-oriented decision-maker who can assess complex situations, identify potential risk, and balance service with sound supervisory judgment.

Key Responsibilities

• Review, analyze, and approve daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts.
• Review client information, suitability forms, new account documentation, sponsor applications, third-party money manager agreements, CIRA advisory agreements, and independent advisory paperwork for completeness, accuracy, and acceptance.
• Provide review and oversight of OSJ approval trades and brokerage account transactions for financial professionals reporting to the home office.
• Use the firm’s compliance engine, dual brokerage platforms, clearing firm reports, and custom reporting tools to conduct supervisory reviews and identify activity that may require escalation.
• Research complex questions, assess suitability and risk, and make independent recommendations while maintaining strong working relationships with financial professionals and internal partners.
• Ensure adherence to firm policies and procedures, clearing firm policies, and applicable requirements; inform management of potential violations or concerns.
• Provide professional, courteous problem-solving and troubleshooting support for inbound phone calls, voicemails, emails, and occasional in-person inquiries from existing and new financial professionals and staff.
• Assist with the organization, development, and delivery of training programs and materials for new and existing financial professionals, including phone training and administrative workshops.

What We Are Looking For

A strong Principal investigates rather than simply processes. They ask thoughtful questions such as, “What am I missing?”, “Does this make sense?”, “What is the client’s objective?”, and “Is there a pattern here?” They are willing to go where the work is, navigate available resources, make difficult decisions when they are the right decisions, and elevate concerns appropriately.

Education And Experience

• 2+ years of related experience, education, and/or training in supervision, compliance, brokerage operations, financial services, or a related field.

Licensing

• FINRA Series 7 and Series 24 licenses are required.

Location

Phoenix, AZ or Fairfield, IA – hybrid attendance (in-office 3 days/week)

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 holidays

You can find more details about our comprehensive benefits packagehere.

Cambridge Overview

Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country. Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.