What are the responsibilities and job description for the Director, Advocacy & Supervision position at Cambridge Investment Research, Inc.?
Job Summary
Key Deliverables and Responsibilities
Cambridge Investment Group is seeking a Director, Advocacy and Supervision to lead a territory of multiple roles, including Regional Directors, Associate Regional Directors, and Principals, who build and maintain strong relationships with Financial Professionals while balancing advocacy, service, supervision, and regulatory responsibilities. This leader will help drive department effectiveness, strengthen business partnerships, support compliance with industry requirements, and foster a high-performing team focused on exceptional customer service.
What You’ll Do
Why Cambridge?
Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.
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 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, ranked among the largest and fastest-growing firms in the industry. 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.
For further information about Cambridge, please visit https://www.joincambridge.com/
Key Deliverables and Responsibilities
Cambridge Investment Group is seeking a Director, Advocacy and Supervision to lead a territory of multiple roles, including Regional Directors, Associate Regional Directors, and Principals, who build and maintain strong relationships with Financial Professionals while balancing advocacy, service, supervision, and regulatory responsibilities. This leader will help drive department effectiveness, strengthen business partnerships, support compliance with industry requirements, and foster a high-performing team focused on exceptional customer service.
What You’ll Do
- Lead, coach, and mentor associates, fostering professional development, accountability, and positive associate experiences that contribute to long-term business success.
- Cultivate strong, trusted relationships with Financial Professionals, direct reports, and internal partners to deliver exceptional service and support compliance with industry regulations.
- Drive overall department effectiveness by directing operations, setting priorities, and aligning team objectives with business and competitive strategy.
- Develop and direct strategic initiatives related to company and departmental policies, procedures, and service standards for internal and external customers.
- Serve as an escalation contact and trusted resource for OSJ Supervisors, Financial Professionals, designees, and internal partners.
- Review and support supervision activities, including sales activity, correspondence, and documentation requirements.
- Identify and lead process improvement initiatives using continuous improvement methods and tools to enhance team efficiency and effectiveness.
- Partner across the firm on strategic projects, cross-divisional committees, and task forces as needed.
- Maintain accurate records, document actions for managed areas, and support budgetary processes as appropriate.
- Maintain a current working knowledge of industry topics, regulatory requirements, internal programs, firm policies, and departmental procedures.
- 4 years of Financial Professional supervision experience.
- 4 years of leadership experience.
- FINRA Series 7, 24 required.
- Series 4, 51 or 53 preferred; other licenses or certificates may be required as dictated by the department.
- Ability to travel locally within a specific geographic area, with limited overnight travel outside the area when applicable.
- Builds transformational relationships with associates, Financial Professionals, and internal partners.
- Operates strategically, sets clear objectives, and prioritizes work in alignment with business needs.
- Approaches challenges with curiosity, flexibility, critical thinking, and sound judgment within compliance guidelines.
- Looks at complex issues from multiple perspectives and anticipates stakeholder needs.
- Is personally driven to execute on assigned projects and initiatives.
- Represents the department and company professionally in all internal and external interactions.
Why Cambridge?
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
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 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, ranked among the largest and fastest-growing firms in the industry. 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.
For further information about Cambridge, please visit https://www.joincambridge.com/