Compliance Advertising Analyst

Overview

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 Advertising Review team of our Compliance department as a full time Analyst. The Analyst works under the direction of Compliance leadership. This position is open in our Phoenix, Arizona office. 

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. 

Essential Duties

• Fulfill supervisory and regulatory requirements by review of communications with the public, including but not limited financial professional advertising/sales literature and social network activity though departmental software
• Provide customer service related to Compliance and supply information as needed at request of management, company associates, and financial professionals and track open issues with consistent follow-up to ensure issues are resolved
• Communicate internal policies and procedures, as well as external policies and procedures to financial professionals and employees, ensure policies/ procedures are being followed and inform management of potential violations

Education & Experience

Two or more years of related experience, education and/or training

Certificates & Licenses

Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE), Series 7 and Series 24 licenses are required. The Series 7 will be required within 6 months of hire and the Series 24 will be required within an additional 3 months. 

Compensation: $58,000 - $80,000. 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.