What are the responsibilities and job description for the Supervisor, Operations Risk position at Cambridge Investment Research (USA)?
Overview
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.
About the Role :
We are seeking a dedicated and experienced Operations Risk Supervisor to join our team. This is an essential role within our organization that will have a significant impact on the continued development and execution of risk mitigation strategies across the service organization. You will be leading a high-performing team while managing the intricacies of risk, money movement, and error resolution to help ensure our operations run smoothly, efficiently, and securely. The Operations Risk Supervisor is critical in maintaining and advancing the firm's risk mitigation strategies. This role will ensure compliance with regulatory requirements, manage high-risk scenarios, and drive a culture of continuous improvement with a focus on risk awareness. You'll have the opportunity to shape the service experience by improving error resolution and the efficiency of money movement processes, all while balancing risk mitigation and service excellence.
If you are a skilled leader with a passion for risk management and the ability to influence a high-performing team, we want to hear from you! Apply today to make a meaningful impact on our operations and service excellence.
Essential Duties
Supervision Tasks :
- Oversee error resolution processes, including handling letters of indemnity.
- Monitor and manage money movement activities to ensure compliance and mitigate risks.
- Conduct activity reviews related to client death to ensure proper handling and risk management
Leadership and Team Development :
Compliance and Certification :
Collaboration and Influence :
Education & Experience
The ideal candidate will have proven experience in operational risk management, with a strong focus on money movement and error resolution. You should possess excellent leadership, training, and team management abilities, along with a track record of effectively handling high-pressure situations and making informed decisions both collaboratively and independently. A commitment to obtaining a Series 24 license within one year of placement is essential. Exceptional communication skills are required, as you will need to navigate complex and high-risk situations with financial professionals, admins, clearing firms, and sponsor companies while maintaining confidentiality and professionalism.
Certificates & Licenses
This job requires a FINRA Securities Industry Essentials (SIE), Series 7. Must obtain the Series 24 licenses within the first 12 months of employment.
Compensation : $65,000-$75,000. 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.
You can find more details about our comprehensive benefits package here.
LI-MM2
Salary : $65,000 - $75,000
