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Cambridge Investment Research, Inc. Surveillance Analyst in Fairfield, Iowa

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 Compliance Department as a full time Surveillance Analyst. The Surveillance Analyst works under the direction of the Compliance 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 39 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 nine times by our associates as a ‘Top Workplace in Iowa’, and 12 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 3,500 independent financial professionals and hundreds of thousands of their investing clients across the country.

Job Summary:

The Analyst works under the direction of the Supervisor, Internal Audit and analyzes aspects of the daily function in the department.

  • Fulfill supervisory and regulatory requirements including, but not limited to analyzing exception reporting data, maintaining surveillance systems, detecting, preventing, and resolving potential policy violations, coordinating Personal Securities Authorizations, performing trade review and correspondence review quality assurance for OSJ Supervisors and working with other department stakeholders to resolve issues

  • 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 clearing firm policies and procedures to financial professionals and employees, ensure policies/ procedures are being followed and inform management of potential violations

  • Maintain working industry knowledge of key topics and continuing education for FINRA licenses (Series 7 and 24)

Associate’s degree or equivalent from two-year college or technical school; or six months to one year related experience and/or training; or equivalent combination of education and experience.

Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE), Series 7 and Series 24 licenses are required.

Job ID: 2020-1142

External Company Name: Cambridge Investment Research, Inc.

External Company URL: https://www.joincambridge.com/home/

Telecommute: No

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