Cambridge Investment Research Inc., one of the nation’s top independent broker-dealers, is actively looking for a person who has a passion for assisting and coordinating with financial professionals to join the Fiduciary Services Department as a full time Advisory Compliance Analyst in our Fairfield, Iowa office. The Analyst works under the direction of the Fiduciary Services leadership to analyze various aspects of department function. Duties include: Reviewing and analyzing firm policies and procedures, communicating internal policies, and ensuring policies are being followed. This exciting position also includes our full Benefits Package, which all employees are eligible to join.
Cambridge Investment Research Inc., one of the nation’s top independent broker-dealers, is actively looking for a person who has a passion for assisting and coordinating with financial professionals to join the Fiduciary Services Department as a full time Advisory Compliance Analyst in our Phoenix, Arizona office. The Analyst works under the direction of the Fiduciary Services leadership.
At Cambridge, our purpose is to make a difference in the lives of our financial professionals, their investing clients, and our associates. Our values of integrity, commitment, flexibility, and kindness continue to guide us in the decisions we make together every day. For 40 years we’ve delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.
A national leader as a financial solutions firm, Cambridge’s commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity. Cambridge has been honored 11 times by our associates as a ‘Top Workplace in Iowa’, and 13 times as ‘Broker-dealer of the Year’ by our financial professionals through Investment Advisor magazine. We are recognized among the leading firms in the financial advice industry as we serve over 3,700 independent financial professionals and hundreds of thousands of their investing clients across the country.
The Advisory Compliance Analyst works under the direction of Fiduciary Services Leadership and analyzes various aspects of the department function.
- Review, analyze, update, and/or maintain the firm Policy and Procedure Manual
- Communicate internal policies and procedures, as well as external clearing firm policies and procedures to financial professionals and associates
- Ensure policies and procedures are being followed, and inform management of potential violations
- Review, analyze, update, and/or maintain disclosure brochures in accordance with firm policy
- Review team and department procedures to enhance financial professional experience while maintaining regulatory compliance
- Assist Independent RIAs by reviewing filings and paperwork, and offering consulting services.
- Answer incoming telephone, voice mail, e-mail and occasionally in-person requests professionally and courteously including escalated requests, and assist with resolutions as necessary
- Research rules and regulations, and monitor information of Registered Investment Advisory (RIA) communications
- Maintain working industry knowledge of key topics and continuing education relative to RIA business and financial services industry
Education & Experience
Two or more years of related experience, education and/or training
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