Director Research and Due Diligence - Cambridge Investment Research, Inc.

Overview:

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: The Director of Research and Due Diligence is responsible for analyzing and appraising a wide range of investment products and managers, including third-party service providers. This role involves conducting detailed due diligence, interacting with various departments, and providing expert-level analysis to ensure the integrity and quality of the company's investment offerings. The Director will also play a key role in maintaining comprehensive knowledge of industry regulations and standards, ensuring that due diligence processes align with best practices.

 

Why Join Us:

• Innovative Culture: Be part of a forward-thinking company that values creativity and innovation.
• Career Growth: Opportunities for professional development and career advancement.
• Comprehensive Benefits: Competitive salary, health insurance, retirement plans, and other employee benefits

Essential Duties:

• Investment Product and Manager Analysis:
  Analyze and appraise a wide variety of investment products and investment managers on a rotating schedule. Assess third-party service providers, ensuring they meet the company's standards and objectives.
• Due Diligence Documentation and Reporting:
  Gather due diligence information from various departments, document findings, and report on conclusions. Highlight specific concerns and make recommendations for the continued development of operational due diligence procedures and product availability.
• Due Diligence Meetings:
  Coordinate, prepare, and present in due diligence meetings with senior management. Discuss potential and existing products, strategists, and evaluate their processes, policies, procedures, and controls.
• Communication with Investment Product Companies:
  Communicate with investment product companies to investigate and evaluate their programs. Ensure that all communications are documented and any issues or concerns are thoroughly addressed.
• Customer Service and Issue Resolution:
  Provide top-tier customer service related to due diligence and analysis information. Supply information as needed at the request of management, company associates, and financial professionals. Track open issues and follow up consistently to ensure resolution.
• Leadership in Due Diligence Practices:
  Lead practices and set objectives to foster a high-performance culture that emphasizes quality, productivity, standards, and goal attainment. Document all due diligence and analysis processes to ensure consistency and compliance.
• Regulatory Knowledge and Continuing Education:
  Maintain comprehensive knowledge by monitoring SEC filings and other reports from public programs. Stay updated on industry regulations and complete continuing education requirements for FINRA licenses (Series 7).
• Expert-Level Analysis:
  Conduct expert-level analysis of alternative investment products and/or managed account strategies, including but not limited to Cambridge Asset Allocation Platform (CAAP). Ensure that all analyses are thorough and meet the company’s high standards for accuracy and reliability.

Education & Experience:

Seven or more years of related experience, education and/or training.

Certificates & Licenses:

This job requires obtaining FINRA Series 7, 24, and 66 licenses within the first 6 months in order to complete job responsibilities. Cambridge will provide financial and educational support towards obtaining required license(s) including paid study time, training courses, study materials and online resources.

Preferred Skills:

Advanced degree in finance, economics, mathematics, business, or other analytical area of study, including liberal arts programs, preferred.

Financial designation or demonstrable progress towards a designation such as CFA, CAIA, FRM, or CIPM preferred.

 

Compensation: $85,000 - $125,000. 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
• Profit Sharing Plan
• Nine paid holidays

You can find more details about our comprehensive benefits package here.