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Cambridge Investment Research, Inc. Advocacy and Supervision Principal in Fairfield, Iowa

Cambridge Investment Research Inc., one of the nation’s top independent broker-dealers, is actively looking for a person who has a passion for assisting and coordinating with financial professionals to join the Advocacy and Supervision department as a full time Principal on the Trade Review team. The Principal works under the direction of Advocacy and Supervision senior leadership.

At Cambridge, our purpose is to make a difference in the lives of our financial professionals, their investing clients, and our associates. Our values of integrity, commitment, flexibility, and kindness continue to guide us in the decisions we make together every day. For 40 years we’ve delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.

A national leader as a financial solutions firm, Cambridge’s commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity. Cambridge has been honored 10 times by our associates as a ‘Top Workplace in Iowa’, and 13 times as ‘Broker-dealer of the Year’ by our financial professionals through 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.

Job Summary:

The Advocacy and Supervision Principal works under the direction of Advocacy and Supervision (A&S) leadership. The Principal functions primarily as a reviewer of brokerage account transactions and activity while acting as a supervisory designee on behalf of A&S Regional Directors.

  • Review, analyze and approve brokerage account transactions for all financial professionals who report to the home office using the firm’s compliance engine on a daily basis

  • Ensure adherence to firm policies and procedures, clearing firm policies, procedures for financial professionals and home office employees, and inform management of potential violations

  • Respond to trade keys, telephone calls, voice messages, faxes, scanned documents, and e-mail in a prompt, professional and courteous manner

  • Conduct supplementary review of brokerage account activity outside the firm’s compliance engine, through the use of dual brokerage platforms, clearing firm reports, and custom reporting functions

  • Assist with training and creating training materials for processes and systems for new and existing financial professionals

  • Contribute to internal committees responsible for proper utilization of related data elements, system settings, alert rule-scoring thresholds, and assist with interpretation of regulations, policies, products and account activity

Bachelor’s degree from four-year College or university; or two to four years related experience and/or training; or equivalent combination of education and experience.

Financial Industry Regulatory Authority (FINRA) Series 7 and Series 24 licenses are required. Series 53 and Series 4 recommended.

Job ID: 2021-1366

External Company Name: Cambridge Investment Research, Inc.

External Company URL:

Telecommute: No