What are the responsibilities and job description for the Client Resolution Analyst position at Cambridge Investment Research, Inc.?
Job Summary
The Client Resolution Analyst is a detail-oriented professional who plays a critical role in managing and resolving complex client matters. This role is responsible for documenting and monitoring customer complaints, arbitrations, and litigation-related inquiries, ensuring accurate tracking, thorough research, and timely communication throughout the resolution process. The Analyst partners closely with Regulatory Affairs and internal stakeholders to support regulatory responses, maintain compliance with FINRA and firm policies, and uphold the firm’s commitment to client protection and integrity.
This role requires a solid understanding of industry regulations, adherence to compliance standards, and a customer-focused approach when supporting internal teams and financial professionals. Through continuous improvement efforts, the Client Resolution Analyst helps strengthen processes, mitigate risk, and enhance the overall client experience.
Key Deliverables And Responsibilities
The ideal candidate demonstrates strong written and verbal communication skills, sound judgment when handling sensitive and confidential information, and a proactive mindset for identifying process improvements.
Certification
Why Cambridge? Our comprehensive benefits package is designed to support your health, well-being, and work-life balance. We offer paid time off, paid holidays and floating holidays, medical, dental, and vision coverage, short- and long-term disability, and company-paid life insurance. Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support you both personally and professionally.
You can find more details about our comprehensive benefits package here.
Company Overview: At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have nearly 45 years of experience supporting independent financial advisors with industry-leading tools, compliance, and transition services. Guided by our core values—integrity, commitment, flexibility, and kindness—we put financial advisors first in every decision we make.
Cambridge is an internally controlled, growth-focused independent broker-dealer with $254 billion in assets under advisement and $1.97 billion in annual revenues. We rank among the largest and fastest-growing firms in the industry, providing financial advisors with the flexibility, resources, and support to thrive. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, our 900 associates maintain a 4:1 advisor-to-associate ratio to ensure personalized service.
Our community of over 4,000 producing financial advisors includes diverse business models—RIA, corporate RIA, hybrid, fee-only, and brokerage—and offers a broad selection of investment solutions with no proprietary products. At Cambridge, we are committed to building a diverse, inclusive, and empowering workplace, where 60% of our associates and 18% of our financial advisors are women, and 17% of our advisors are under 40.
Join us to help financial advisors succeed, make an impact, and discover your Something Wonderful. For further information about Cambridge, please visit https://www.joincambridge.com/
Work Environments: This role offers a hybrid schedule, requiring three days weekly in the office. Applicants should be located near one of our hubs (Fairfield, IA or Phoenix, AZ) and must be willing to work this schedule. Cambridge is not considering remote candidates for this role at this time.
Recruiting Agencies: This position is being managed directly by Cambridge’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Fees will not be paid for unsolicited submissions. Your respect for this process is appreciated.
The Client Resolution Analyst is a detail-oriented professional who plays a critical role in managing and resolving complex client matters. This role is responsible for documenting and monitoring customer complaints, arbitrations, and litigation-related inquiries, ensuring accurate tracking, thorough research, and timely communication throughout the resolution process. The Analyst partners closely with Regulatory Affairs and internal stakeholders to support regulatory responses, maintain compliance with FINRA and firm policies, and uphold the firm’s commitment to client protection and integrity.
This role requires a solid understanding of industry regulations, adherence to compliance standards, and a customer-focused approach when supporting internal teams and financial professionals. Through continuous improvement efforts, the Client Resolution Analyst helps strengthen processes, mitigate risk, and enhance the overall client experience.
Key Deliverables And Responsibilities
- Document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the process
- Draft written correspondence outlining facts and findings
- Communicate information related to regulatory disclosures to appropriate parties
- Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
- Assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requests
- Provide customer service and supply information as needed at request of management, company associates, and registered representatives
- Maintain industry knowledge including continuing education for FINRA licenses (Series 7), working knowledge of industry compliance, key industry topics, procedures, issues and concerns
- Manage sensitive and confidential matters though planning and protecting security of information, data and files
- Utilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficient
The ideal candidate demonstrates strong written and verbal communication skills, sound judgment when handling sensitive and confidential information, and a proactive mindset for identifying process improvements.
Certification
- This job requires obtaining the FINRA Securities Industry Essentials (SIE) within 12 months.
Why Cambridge? Our comprehensive benefits package is designed to support your health, well-being, and work-life balance. We offer paid time off, paid holidays and floating holidays, medical, dental, and vision coverage, short- and long-term disability, and company-paid life insurance. Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support you both personally and professionally.
You can find more details about our comprehensive benefits package here.
Company Overview: At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have nearly 45 years of experience supporting independent financial advisors with industry-leading tools, compliance, and transition services. Guided by our core values—integrity, commitment, flexibility, and kindness—we put financial advisors first in every decision we make.
Cambridge is an internally controlled, growth-focused independent broker-dealer with $254 billion in assets under advisement and $1.97 billion in annual revenues. We rank among the largest and fastest-growing firms in the industry, providing financial advisors with the flexibility, resources, and support to thrive. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, our 900 associates maintain a 4:1 advisor-to-associate ratio to ensure personalized service.
Our community of over 4,000 producing financial advisors includes diverse business models—RIA, corporate RIA, hybrid, fee-only, and brokerage—and offers a broad selection of investment solutions with no proprietary products. At Cambridge, we are committed to building a diverse, inclusive, and empowering workplace, where 60% of our associates and 18% of our financial advisors are women, and 17% of our advisors are under 40.
Join us to help financial advisors succeed, make an impact, and discover your Something Wonderful. For further information about Cambridge, please visit https://www.joincambridge.com/
Work Environments: This role offers a hybrid schedule, requiring three days weekly in the office. Applicants should be located near one of our hubs (Fairfield, IA or Phoenix, AZ) and must be willing to work this schedule. Cambridge is not considering remote candidates for this role at this time.
Recruiting Agencies: This position is being managed directly by Cambridge’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Fees will not be paid for unsolicited submissions. Your respect for this process is appreciated.
Salary : $55,000 - $65,000