What are the responsibilities and job description for the Director, Due Diligence & Research 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:
We are seeking a highly analytical and detail-oriented Due Diligence Leader to oversee the evaluation and appraisal of investment products, managers, and third-party service providers. This role is responsible for conducting in-depth research, ensuring compliance with industry standards, and making recommendations to enhance product availability and due diligence procedures. The ideal candidate will excel in financial analysis, risk assessment, and effective communication with both internal stakeholders and external investment product companies.
This position requires expertise in leading due diligence meetings, analyzing alternative investment products and managed account strategies, and staying informed on industry regulations. The Due Diligence Leader will also provide exceptional service by tracking and resolving due diligence-related issues, maintaining documentation, and fostering a high-performance culture focused on quality, productivity, and goal attainment. A FINRA Series 7 license and a strong understanding of SEC filings are essential for success in this role.
Join us and be part of a team that values integrity, collaboration, and continuous improvement. Together, we can achieve excellence in due diligence and drive our company's success.
Why Join Us:
In this role, you will:
The ideal candidate would possess an advanced level of experience, typically around 7-10 years of experience in due diligence, investment product analysis or a related field within the financial industry.
Certificates & Licenses
This job requires obtaining FINRA Series 7, 24, and 66 licenses within the first 6 months in order to complete job responsibilities. Cambridge will provide financial and educational support towards obtaining required license(s) including paid study time, training courses, study materials and online resources.
Preferred Skills
Advanced degree in finance, economics, mathematics, business, or other analytical area of study, including liberal arts programs, preferred.
Financial designation or demonstrable progress towards a designation such as CFA, CAIA, FRM, or CIPM preferred.
Compensation: $100,000 - $140,000. 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.
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 highly analytical and detail-oriented Due Diligence Leader to oversee the evaluation and appraisal of investment products, managers, and third-party service providers. This role is responsible for conducting in-depth research, ensuring compliance with industry standards, and making recommendations to enhance product availability and due diligence procedures. The ideal candidate will excel in financial analysis, risk assessment, and effective communication with both internal stakeholders and external investment product companies.
This position requires expertise in leading due diligence meetings, analyzing alternative investment products and managed account strategies, and staying informed on industry regulations. The Due Diligence Leader will also provide exceptional service by tracking and resolving due diligence-related issues, maintaining documentation, and fostering a high-performance culture focused on quality, productivity, and goal attainment. A FINRA Series 7 license and a strong understanding of SEC filings are essential for success in this role.
Join us and be part of a team that values integrity, collaboration, and continuous improvement. Together, we can achieve excellence in due diligence and drive our company's success.
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
In this role, you will:
- Analyze and Appraise: Conduct thorough evaluations of a wide range of investment products and managers, ensuring third-party service providers meet our standards.
- Document and Report: Gather and document due diligence information, highlight concerns, and make recommendations for improving our procedures and product availability.
- Lead Meetings: Prepare and present in due diligence meetings with senior management, discussing potential and existing products and evaluating their processes and controls.
- Communicate Effectively: Engage with investment product companies to investigate and evaluate their programs, ensuring all communications are documented and issues are resolved.
- Provide Exceptional Service: Deliver top-tier customer service related to due diligence and analysis information, tracking open issues and ensuring timely resolution.
- Foster Excellence: Lead due diligence practices, setting objectives to promote a high-performance culture focused on quality, productivity, and goal attainment.
- Stay Informed: Maintain up-to-date knowledge of industry regulations, monitor SEC filings, and complete continuing education requirements for FINRA licenses (Series 7).
- Conduct Expert Analysis: Perform expert-level analysis of alternative investment products and managed account strategies, ensuring accuracy and reliability.
The ideal candidate would possess an advanced level of experience, typically around 7-10 years of experience in due diligence, investment product analysis or a related field within the financial industry.
Certificates & Licenses
This job requires obtaining FINRA Series 7, 24, and 66 licenses within the first 6 months in order to complete job responsibilities. Cambridge will provide financial and educational support towards obtaining required license(s) including paid study time, training courses, study materials and online resources.
Preferred Skills
Advanced degree in finance, economics, mathematics, business, or other analytical area of study, including liberal arts programs, preferred.
Financial designation or demonstrable progress towards a designation such as CFA, CAIA, FRM, or CIPM preferred.
Compensation: $100,000 - $140,000. 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
- Profit Sharing Plan
- Eleven paid holidays
Salary : $100,000 - $140,000
