Advocacy and Supervision Principal

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: We are seeking a detail-oriented and knowledgeable Advocacy and Supervision Principal to join our team. This role involves the review, analysis, and approval of daily financial transactions, ensuring adherence to external and internal policies, and providing exceptional support to financial professionals. The ideal candidate will play a key role in maintaining compliance, overseeing account approvals, and supporting the training of new financial professionals.

Essential Duties

• Transaction Review and Approval:
• Effectively review, analyze, and approve daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts.
• Ensure all transactions comply with regulatory standards and company policies.
• Policy and Procedure Compliance:
• Monitor adherence to external and internal policies and procedures by registered representatives and staff.
• Identify and escalate potential compliance issues as needed.
• Account Review and Suitability:
• Conduct timely reviews and approvals of accounts, including the verification of Client Information and Suitability Forms.
• OSJ Trade Oversight:
• Oversee and review Office of Supervisory Jurisdiction (OSJ)-approved trades daily to ensure accuracy and compliance.
• Support and Troubleshooting:
• Provide professional and courteous problem-solving and troubleshooting support via phone, voicemail, email, and occasionally in person.
• Assist existing and new financial professionals, as well as internal staff, with inquiries and issues.
• Training and Development:
• Assist in organizing and conducting training sessions for new financial professionals, including phone training and administrative workshops.
• Collaboration and Escalation:
• Work closely with the Manager of Direct Operations and senior management to address escalated issues and provide updates as needed.
  

Education & Experience

The ideal candidate would possess an intermediate level of experience, typically around 5 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.

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.
  
  

You can find more details about our comprehensive benefits package here.