Account Supervision Principal - Cambridge Investment Research, Inc.

About Us: Cambridge Investment Research Inc. is one of the nation’s top independent financial solutions firms. We are committed to fostering an inclusive and dynamic work environment where innovation, collaboration, and growth are encouraged. Our team is dedicated to driving success and creating a workplace where every employee feels valued and empowered.

Job Summary: We are seeking a detail-oriented and proactive Account Supervision Principal to play a vital role in ensuring the accuracy, compliance, and timely approval of daily transactions. This position will focus on reviewing and approving a wide range of financial products, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Real Estate Investment Trusts (REITs). You will be a key player in maintaining adherence to both internal and external regulatory policies, ensuring that all transactions meet the required standards, and supporting the company's financial professionals in navigating complex processes.

In addition to transactional oversight, you will also have a hands-on role in supporting the development and training of new financial professionals. Your problem-solving skills and professionalism will be critical as you assist with inbound inquiries and provide expert guidance to both existing and incoming financial professionals.

This role offers an opportunity to shape the success of both financial professionals and the company through compliance excellence and hands-on support. If you are passionate about finance, meticulous with details, and enjoy guiding others to success, we encourage you to apply!

• Transaction Review & Approval: Conduct thorough reviews of daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/REITs, ensuring compliance with regulatory standards and internal policies.
• Policy Compliance: Monitor adherence to external and internal policies and procedures by registered representatives and staff. Ensure all actions align with industry regulations and company standards.
• Account Review & Approval: Perform timely review and acceptance of accounts for Cambridge Investment Research, including accurate approval of Client Information and Suitability Forms.
• OSJ Trade Oversight: Oversee and review OSJ-approved trades daily, ensuring accuracy and compliance with all applicable policies.
• Problem Solving & Troubleshooting: Handle inbound phone calls, emails, and occasional in-person inquiries from financial professionals with professionalism and courtesy. Resolve issues promptly and efficiently, directing more complex matters to senior management as needed.
• Training & Development: Assist in organizing and developing training programs for new financial professionals, including phone training and administrative workshops. Support their onboarding process and provide ongoing guidance.
• Collaboration & Communication: Act as a liaison between financial professionals and senior management, escalating inquiries or issues when necessary and ensuring clear communication across teams.

The ideal candidate would possess an advanced level of experience, typically around 7 or more years, with the financial industry's compliance practices.

This job requires obtaining FINRA Securities Industry Essentials (SIE), Series 7 and Series 24 licenses within 9 months of hire. 

Compensation: $70,000-$85,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidate’s qualifications, the Company’s operational needs, and other considerations permitted by law. The actual pay offered to a specific candidate may vary above or below the stated range.

Benefits: 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 package here. 

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