What are the responsibilities and job description for the Supervisory Principal, Jordan Creek position at Cambridge Investment Research, Inc.?
Overview
About Cambridge: 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.
About Jordan Creek Financial Solutions:
Jordan Creek Financial Solutions is an independent firm that seeks to be an advisor’s caring advocate, providing the support they need to run their business while also providing compliance and regulatory oversight as an Office of Supervisory Jurisdiction. Our comprehensive partnership is focused on unparalleled service and comprehensive business solutions within Jordan Creek and with the support of financial solutions firm Cambridge Investment Group, Inc.
Job Summary:
We are seeking an experienced Principal to join our team in a supervisory capacity, overseeing financial professionals and ensuring compliance with industry regulations and firm policies. As a Supervisory Principal you will act as an Office of Supervisory Jurisdiction (OSJ) Designee, responsible for reviewing and approving financial professionals' activities, ensuring adherence to regulatory requirements, and providing compliance support for our Jordan Creek Financial Services branch. You will work closely with financial professionals, internal teams, and leadership to maintain a strong risk management framework while fostering a culture of compliance and excellence.
Essential Duties
The ideal candidate would have an intermediate level of experience in financial supervision, compliance, or a related field, with a strong knowledge of FINRA regulations, SEC guidelines, and industry best practices.
Certificates & Licenses
This job requires a FINRA Securities Industry Essentials (SIE), Series 7 and 24. The Series 66 is preferred.
Compensation: $65,000-$80,000. 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:
About Cambridge: 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.
About Jordan Creek Financial Solutions:
Jordan Creek Financial Solutions is an independent firm that seeks to be an advisor’s caring advocate, providing the support they need to run their business while also providing compliance and regulatory oversight as an Office of Supervisory Jurisdiction. Our comprehensive partnership is focused on unparalleled service and comprehensive business solutions within Jordan Creek and with the support of financial solutions firm Cambridge Investment Group, Inc.
Job Summary:
We are seeking an experienced Principal to join our team in a supervisory capacity, overseeing financial professionals and ensuring compliance with industry regulations and firm policies. As a Supervisory Principal you will act as an Office of Supervisory Jurisdiction (OSJ) Designee, responsible for reviewing and approving financial professionals' activities, ensuring adherence to regulatory requirements, and providing compliance support for our Jordan Creek Financial Services branch. You will work closely with financial professionals, internal teams, and leadership to maintain a strong risk management framework while fostering a culture of compliance and excellence.
Essential Duties
- Serve as an OSJ Designee, reviewing and approving correspondence, securities activities, FINRA/Insurance licensing, Outside Business Activities (OBA) reports, daily trade blotters, and other compliance-related documents.
- Conduct thorough review, analysis, and approval of new accounts and account transactions for financial professionals within Jordan Creek Financial Services.
- Provide prompt, professional responses to trade keys, telephone inquiries, voicemails, faxes, scanned documents, and emails.
- Ensure strict adherence to firm policies, clearing firm procedures, and regulatory guidelines, escalating potential violations to management as necessary.
- Conduct and support supervisory visits, including gathering relevant data, meeting face-to-face with financial professionals, and ensuring follow-up on outstanding items.
- Maintain a comprehensive knowledge of key industry topics, Jordan Creek Financial Services policies and programs, evolving regulatory requirements, and changes impacting compliance and supervision.
The ideal candidate would have an intermediate level of experience in financial supervision, compliance, or a related field, with a strong knowledge of FINRA regulations, SEC guidelines, and industry best practices.
Certificates & Licenses
This job requires a FINRA Securities Industry Essentials (SIE), Series 7 and 24. The Series 66 is preferred.
Compensation: $65,000-$80,000. 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.
Salary : $65,000 - $80,000
