What are the responsibilities and job description for the Senior Compliance Examiner, External Audit 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 skilled and detail-oriented Senior External Auditor to join our Compliance team. This role is responsible for conducting on-site audits of financial professionals, ensuring adherence to regulatory requirements and internal policies, and driving strategic initiatives within the department. The ideal candidate will have strong auditing experience within the financial services industry, excellent project management skills, and the ability to train and support team members.
As a Senior External Auditor, you’ll play a key role in maintaining the integrity of our firm while having opportunities for professional growth and impact. If you are a proactive, compliance-minded professional looking for a meaningful role at a leading independent broker-dealer, we encourage you to apply!
Essential Duties
In this role, you will:
The ideal candidate would possess an intermediate level of experience, typically around 4 or more years, with compliance, external audit, or a related field within the financial services industry.
Certificates & Licenses
Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, Series 63, and Series 65 or Series 66 licenses are required. Valid U.S. driver’s license is required.
Preferred Skills
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 skilled and detail-oriented Senior External Auditor to join our Compliance team. This role is responsible for conducting on-site audits of financial professionals, ensuring adherence to regulatory requirements and internal policies, and driving strategic initiatives within the department. The ideal candidate will have strong auditing experience within the financial services industry, excellent project management skills, and the ability to train and support team members.
As a Senior External Auditor, you’ll play a key role in maintaining the integrity of our firm while having opportunities for professional growth and impact. If you are a proactive, compliance-minded professional looking for a meaningful role at a leading independent broker-dealer, we encourage you to apply!
Essential Duties
In this role, you will:
- Lead and manage strategic projects within the department, conceptualizing and implementing initiatives that align with organizational goals.
- Develop and refine audit procedures to improve efficiency, ensuring processes remain streamlined and up to date. Train team members on updated procedures as needed.
- Conduct virtual and on-site audits of financial professional offices, including planning audit routes, scheduling visits, and coordinating all travel arrangements (flights, hotels, car rentals).
- Ensure compliance with internal policies and industry regulations, educating financial professionals on new rules and regulatory changes while identifying and escalating potential violations to management.
- Provide leadership and guidance to team members, facilitating training sessions and assisting with the resolution of escalated audit deficiencies.
- Deliver excellent customer service by providing compliance-related guidance and responding to requests from management, company associates, and financial professionals. Maintain detailed records and follow up on open compliance issues to ensure resolution.
- Communicate pre- and post-audit findings to both management and financial professionals through timely and well-documented reports, ensuring any identified concerns are addressed within the required timeframe.
- Stay current on regulatory changes, industry trends, and best practices to maintain an active understanding of compliance requirements. Maintain continuing education and required FINRA licenses.
The ideal candidate would possess an intermediate level of experience, typically around 4 or more years, with compliance, external audit, or a related field within the financial services industry.
Certificates & Licenses
Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, Series 63, and Series 65 or Series 66 licenses are required. Valid U.S. driver’s license is required.
Preferred Skills
- A commitment to travel 25-50% is required for this role.
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
Salary : $80,000 - $95,000
