Cambridge Investment Research, Inc., one of the nation’s top independent broker-dealers, is looking for a Vice President of Transition and Acquisition Operations to lead our transition teams and the operations of strategic acquisitions when new broker-dealers join Cambridge. The ideal candidate will have financial services experience, passion for leadership and knowledge on operational processes involved with broker-dealer acquisitions. 

• Represent Cambridge on potential business acquisitions with Broker-Dealers and Registered Investment Advisors
• Oversee all aspects of the acquisition and transition process to best support acquisition leadership and deliver best in class customer experience to financial professionals
• Oversee acquired enterprises, both partial and full acquisitions. Enterprises in which we have a minority stake oversight will be guided by the shareholder/purchase agreement.
• Develop and manage Acquisitions Operations by providing vision and leadership to ensure department is centered around business goals, company branding, supporting recruiting functions, and departmental effective metrics
• Develop and implement strategic initiatives in order to improve overall service standards and champion company strategic mission, values, and firm level goals
• Demonstrate exceptional leadership, management, and communication skills to train and development internal support associates while meeting the organization’s strategic goals
• Provide leadership and support for the development and implementation of strategic initiatives in order to incorporate marketing trends and developments within the industry with regard to competitive positioning and champion company strategic mission, values, and firm level goals
• Establish goals and create accountability for profitability, recruiting, retention, and advisor satisfaction
• Manage forward company revenue and profitability targets on strategic acquisitions
• Manage expenditures and departmental budget including preparation and approval process
• Develop and maintain excellent relationships with internal partners and executives, interacting professionally both via telephone and in person
• Interface internally and externally in a professional and courteous manner to achieve the Company’s common goals and ensure communication of those goals and statuses to all necessary parties
• Act as a liaison between Legal and Risk Management to ensure all documentation, processes and procedures follow regulatory standards and guidelines
• Identify and deliver operational excellence and compliance with all regulatory requirements
• Identify, monitor and manage risk factors within areas of responsibility

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

This job requires the FINRA Series 7 and 24 license. 

Compensation: $165,000-$195,000. 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. 

• Premium benefit package including medical, vision, dental, life and long-term disability insurance
• Vacation/sick time
• 401K retirement plan with company matching program
• Eleven paid holidays