Cambridge Investment Research, Inc. Hiring for Operations Risk Principal at Fairfield, Iowa Full Time

Cambridge Investment Research Inc., one of the nation’s top independent financial solutions firm, is actively looking for a person who has a passion for risk mitigation and acts as a resource to support the supervision of money movement to join the Specialized Services Department for a full time Operations Risk Principal.

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 over 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 and work-life balance makes this a one-of-a-kind opportunity. Cambridge is a multiple-time Top Workplace Iowa and Top Workplace USA winner as voted on by our associates2. We are recognized among the leading firms in the financial advice industry as we serve over 3,800 independent financial professionals³ and hundreds of thousands of their investing clients across the country.

1 Cambridge and its predecessor broker-dealer

2The Top Workplace in Iowa recognition is determined by associate feedback through an anonymous survey conducted by Energage, an independent research company. More information on the methodology to qualify can be found at https://topworkplaces.com/resources/national-top-workplaces-methodology/

³As of December 31, 2022

• Act as the firms first line of supervision for letters of indemnification for all lines of business

• Research, analyze, and process Letters of Indemnification

• Act as a resource to support the supervision of money movement at NFS and Pershing

• Partner with various internal teams such as AML, Account Supervision, Dispute Resolution, and Compliance on policies and procedures, process improvement, and case resolution

• Resolve escalated requests and issues through email, phone, and an internal tracking system

• Support our service teams with questions on processed or pending requests

Four or more years of related experience, education and/or training.

Compensation: $61,000-$66,000. 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.

This role requires the Financial Industry Regulatory Authority (FINRA) Series 7 and Series 24 licenses. Unlicensed applicants are encouraged to apply with the understanding that the FINRA Series 7 license must be obtained within 6 months of employment and the Series 24 license must be obtained within 12 month of employment.

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

• Profit Sharing Plan

• Eleven paid holidays

You can find more details about our comprehensive benefits package here.

Job ID: 2023-2297

External Company Name: Cambridge Investment Research, Inc.

External Company URL: https://www.joincambridge.com/home/

Telecommute: Yes