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Job Description
Overview:
Cambridge Investment Research, Inc. has an opening in the Operations Department for a full-time Senior Registered Principal on our Account Supervision team in our Fairfield, Iowa office. The Principal works under the direction of Operations Leadership and analyzes and approves aspects of the daily function in the department.
Benefits
- Paid vacation and sick time
- Nine paid holidays
- Premium benefit package including medical, vision, dental, life, and short-term/long-term disability insurance
- 401k retirement plan with company match program
- Enrollment in the Cambridge Employee Profit Sharing Plan
- Wellness incentive with participation of annual health screenings
- Paid time off for volunteering
- Local (Fairfield only) recreation center discounts
- Free financial planning courses
Plus, we provide our associates with abundant career opportunities through professional development, promotions from within, and career growth assistance.
Work-life balance is the key to individual success. When our associates have downtime, they enjoy taking walks around our quarter-mile trail, playing a quick round of bags, or participating in our annual company-wide volleyball tournament. When the temperature begins to drop, the activities move indoors with ping-pong competitions and yoga sessions.
About Cambridge
Cambridge has been honored 11 times by our associates as a ‘Top Workplace in Iowa’, and 13 times as ‘Broker-dealer of the Year’ by Investment Advisor magazine. We are recognized among the leading firms in the financial advice industry as we serve over 3,700 independent financial professionals and hundreds of thousands of their investing clients across the country.
Essential Duties:
- Review, analyze and approve daily new business including oversight of Office of Supervisory Jurisdiction (OSJ) approved trades in a timely manner
- Ensure adherence to internal policies and procedures, as well as external clearing firm policies and procedures to financial professionals and employees, and inform management of potential violations
- Answer and problem-solve incoming telephone, voice mail, e-mail and occasionally in-person requests professionally and courteously including escalated requests
- Maintain working industry knowledge of key topics and continuing education for FINRA licenses (Series 7 and 24) as the point of contact for peers and representatives
- Administer training on department processes and software to new and existing financial professionals
Education & Experience:
Four or more years of related experience, education and/or training.
Certificates & Licenses:
Financial Industry Regulatory Authority (FINRA) Series 7 and Series 24 licenses are required.
