What are the responsibilities and job description for the Account Review Specialist position at Cambridge Investment Research, Inc.?
Overview:
Job Summary: We are seeking a detail-oriented and proactive Account Review Specialist to join our team. In this role, you will be at the heart of ensuring smooth processing of critical financial documents, tracking customer forms, and supporting investment management operations. You will work closely with rep-advisors and internal teams to communicate policies, troubleshoot issues, and provide expert guidance on compliance matters. If you thrive in a fast-paced environment, have a passion for financial regulations, and enjoy working with sensitive information, this role is your opportunity to shine.
In this role, you’ll be an integral part of our compliance and operations team, ensuring that critical processes run smoothly and compliance standards are met. If you’re passionate about financial regulations and enjoy working in a collaborative, fast-paced environment, we’d love to have you on board!
Why Join Us:
Essential Duties:
You can find more details about our comprehensive benefits package here.
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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 detail-oriented and proactive Account Review Specialist to join our team. In this role, you will be at the heart of ensuring smooth processing of critical financial documents, tracking customer forms, and supporting investment management operations. You will work closely with rep-advisors and internal teams to communicate policies, troubleshoot issues, and provide expert guidance on compliance matters. If you thrive in a fast-paced environment, have a passion for financial regulations, and enjoy working with sensitive information, this role is your opportunity to shine.
In this role, you’ll be an integral part of our compliance and operations team, ensuring that critical processes run smoothly and compliance standards are met. If you’re passionate about financial regulations and enjoy working in a collaborative, fast-paced environment, we’d love to have you on board!
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:
- Document Management & Tracking: Review and track a variety of critical paperwork, including customer forms, investment management agreements, and independent advisory contracts, ensuring everything meets regulatory and internal requirements.
- Policy Communication & Enforcement: Clearly communicate internal policies and procedures, along with external clearing firm guidelines, to rep-advisors and employees. Ensure all policies are followed and alert management to any potential violations.
- Problem-Solving & Inquiry Support: Serve as a first point of contact for rep-advisors, handling inquiries via phone, email, voicemail, and occasional in-person requests. Provide courteous, timely, and professional responses to ensure efficient issue resolution.
- Regulatory Research & Advisory Communications: Research relevant rules, regulations, and industry guidelines. Monitor communications related to Registered Investment Advisors (RIA) to ensure compliance and provide informed support to internal teams.
- Develop Industry Knowledge: Stay up-to-date with key industry topics, compliance issues, and regulatory concerns, developing a robust understanding of investment operations and regulatory requirements.
- Confidentiality & Data Security: Handle sensitive and confidential information with the utmost care, ensuring data and files are securely managed and accessed only by authorized individuals.
Six months to one-year related experience, education and/or training.
Compensation: $38,000-$46,000. 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.
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Salary : $38,000 - $46,000
