Overview

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 collaborating with and assisting financial professionals to join the Compliance Department as a full time Registration and Licensing Associate Consultant working from our Fairfield, Iowa office. 

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

Essential Duties

• Open exam windows for financial professionals and internal staff
• Update financial professional information on FINRA systems and internal systems
• Assist the Consultants with financial professional registrations/terminations, and maintenance of licenses
• Maintain relationships with and administer training to financial professionals on various aspects of Registration & Licensing’s processes
• Serve as a back up to Registration & Licensing Consultants
• Provide proactive customer service related to Registration & Licensing, follow up on paperwork, questions, and supply information as needed at request of management, company associates, and financial professionals
• Organize and maintain financial professional information utilizing spreadsheets, database software for financial professionals and handling state registration updates and questions
• Ensure processes and procedures are kept current
• Communicate new information to all interested parties
• Represent Registration & Licensing by participating in cross-department task force and stakeholder groups, communicating updates to all interested parties
• Serve as knowledge leader and mentor within the department including, but not limited to training, coaching, and answering questions
• Maintain working industry knowledge of key topics and policies/procedures regarding registration requirements

Education & Experience

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

Certificates & Licenses

No licenses or certificates are required for this position. 

Compensation: $43,000 - $46,500. 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. 

• 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.