Advocacy and Supervision Principal
Cambridge Investment Research (USA) - fairfield, IA
Apply NowJob Description
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: We are seeking a diligent and detail-oriented Account Review Principal to join our team. The successful candidate will be responsible for reviewing, analyzing, and approving new fee and commission accounts, and transactions. 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 Account Acceptance: Perform timely review and acceptance of accounts for Cambridge Investment Research, including accurate review and approval of Client Information and Suitability Forms. Transaction Review: Conduct effective review, analysis, and approval of transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts. Policy Compliance: Ensure policies and procedures are being followed by Financial Professionals and staff. Problem Solving: Offer professional and courteous problem-solving and troubleshooting for inbound phone, voicemail, email, and occasional in-person inquiries from the company's existing financial professionals, new financial professionals, and staff. Education & Experience The ideal candidate would possess an advanced level of experience, typically around 7 or more years, with the financial industry's compliance practices. Certificates & Licenses This job requires obtaining FINRA Securities Industry Essentials (SIE), Series 7 and Series 24 licenses within 9 months of hire. Compensation: $70,000-$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 Eleven paid holidays You can find more details about our comprehensive benefits package here. #LI-MM2
Created: 2024-10-08