What are the responsibilities and job description for the Regional Director position at Cambridge Investment Research, Inc.?
Overview
About Us:
Cambridge Investment Research, Inc. stands as one of the nation’s premier independent financial solutions firms, dedicated to empowering independent financial advisors and their clients. At Cambridge, we cultivate an inclusive, dynamic environment that thrives on innovation, collaboration, and growth. Our team is driven by a shared commitment to excellence, fostering a workplace where every individual feels valued, supported, and inspired to succeed.
We provide a comprehensive range of flexible solutions across advice, growth, technology, and independence, tailored to meet the unique needs of our advisors. Guided by our core values—integrity, commitment, flexibility, and kindness—we lead with purpose, delivering impactful results for our clients and partners.
At Cambridge, we don’t just adapt to change; we shape it. As innovators, problem solvers, and trailblazers, we are redefining what it means to be independent. We are Cambridge.
Job Summary: The Regional Director will be responsible for strengthening relationships between the firm and its financial professionals by serving as a key communicator, supervisor, and strategic partner. This role focuses on ensuring smooth communication of policies and procedures, supervising personal securities activities, and delivering exceptional customer support to financial professionals. The position will also involve identifying growth opportunities, providing training, and supporting strategic initiatives to foster a positive, productive relationship with the firm and its financial professionals.
This role is ideal for an experienced financial services professional with a strong understanding of industry regulations and a passion for supporting financial professionals in their growth and success.
Essential Duties
The ideal candidate would possess an advanced level of experience, typically around 7 years of experience in compliance, industry regulations, procedures/policies or a related field within the financial industry.
Certificates & Licenses
This job requires obtaining FINRA Securities Industry Essentials (SIE), Series 7 and 24.
Compensation: $95,000-$120,000. 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.
What We Offer:
Preferred Skills
Excellent written and verbal communication skills
About Us:
Cambridge Investment Research, Inc. stands as one of the nation’s premier independent financial solutions firms, dedicated to empowering independent financial advisors and their clients. At Cambridge, we cultivate an inclusive, dynamic environment that thrives on innovation, collaboration, and growth. Our team is driven by a shared commitment to excellence, fostering a workplace where every individual feels valued, supported, and inspired to succeed.
We provide a comprehensive range of flexible solutions across advice, growth, technology, and independence, tailored to meet the unique needs of our advisors. Guided by our core values—integrity, commitment, flexibility, and kindness—we lead with purpose, delivering impactful results for our clients and partners.
At Cambridge, we don’t just adapt to change; we shape it. As innovators, problem solvers, and trailblazers, we are redefining what it means to be independent. We are Cambridge.
Job Summary: The Regional Director will be responsible for strengthening relationships between the firm and its financial professionals by serving as a key communicator, supervisor, and strategic partner. This role focuses on ensuring smooth communication of policies and procedures, supervising personal securities activities, and delivering exceptional customer support to financial professionals. The position will also involve identifying growth opportunities, providing training, and supporting strategic initiatives to foster a positive, productive relationship with the firm and its financial professionals.
This role is ideal for an experienced financial services professional with a strong understanding of industry regulations and a passion for supporting financial professionals in their growth and success.
Essential Duties
- Policy and Procedure Communication: Collaborate with Office of Supervisory Jurisdiction (OSJ) Supervisors and direct report financial professionals to communicate new policies, procedures, and updates. Share relevant information about the firm and solicit feedback to enhance relationships with financial professional offices.
- Supervision of Securities Activities: Supervise the personal securities activities of OSJ Supervisors and direct report financial professionals, ensuring compliance by reviewing and approving sales activities, correspondence, and acting as an escalation contact for complex issues.
- Financial Professional Support: Serve as a key resource for financial professionals, focusing on identifying and addressing their needs through data-driven insights and providing exceptional customer support to ensure satisfaction and alignment with the firm’s goals.
- Collaboration on Strategic Projects: Partner with cross-functional teams on firmwide strategic initiatives, providing input and expertise to help drive company success.
- Business Strategy & Growth Support: Act as a trusted advisor, offering guidance on business strategy, industry trends, and branch office expansion. Regularly visit financial professionals in their offices to strengthen relationships and provide training and development opportunities.
- Growth Identification and Strategy Development: Identify financial professionals with potential for growth and collaborate with internal teams to create and execute strategies that foster their success and align with firm objectives.
- Knowledge and Goal Alignment: Maintain a comprehensive understanding of the firm’s revenue targets, profitability goals, industry trends, internal programs, regulatory requirements, and departmental procedures. Ensure alignment with company objectives and policy compliance.
- Professional Interfacing: Interact professionally with internal and external stakeholders to communicate goals, progress, and initiatives, maintaining positive relationships and achieving the firm’s objectives.
The ideal candidate would possess an advanced level of experience, typically around 7 years of experience in compliance, industry regulations, procedures/policies or a related field within the financial industry.
Certificates & Licenses
This job requires obtaining FINRA Securities Industry Essentials (SIE), Series 7 and 24.
Compensation: $95,000-$120,000. 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.
What We Offer:
- Health & Wellness: Comprehensive medical, dental, and vision plans; wellness stipends and resources; and mental health support.
- Financial Security: 401(k) retirement plan with company matching program
- Time Off & Flexibility: Paid time off, eleven paid holidays, family leave, and options for hybrid work.
- Career Growth: Access to learning platforms, mentorship programs, and leadership training.
Preferred Skills
Excellent written and verbal communication skills
Salary : $95,000 - $120,000
