Supervisor, Account Supervision - 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: The Supervisor will oversee the daily review, analysis, and approval of new business and Office of Supervisory Jurisdiction (OSJ) approved trades. This role ensures compliance with internal policies, external clearing firm regulations, and industry standards, while providing professional problem-solving and customer service. The Supervisor will also serve as the main point of contact for financial professionals, offering training, guidance, and expertise in key industry topics, including the maintenance of FINRA licenses.

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

• Daily Oversight: Review, analyze, and approve new business submissions, including OSJ-approved trades, ensuring timely and accurate processing.
• Policy Adherence: Ensure financial professionals and employees adhere to both internal policies and external clearing firm procedures, reporting potential violations to management.
• Escalated Requests: Professionally handle and resolve escalated inquiries and requests via phone, email, voicemail, and occasionally in person.
• Industry Expertise: Stay current on industry trends and regulatory changes while maintaining required FINRA licenses (Series 7 and 24). Act as a point of contact for peers and representatives on complex issues.
• Training & Development: Administer training on department processes, procedures, and software for new and existing financial professionals, ensuring a high level of competency and compliance.

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: $80,000-$90,000. 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. 

#LI-MM2