Cambridge Investment Research Senior Regional Director in Fairfield Business Park, Iowa

CambridgeInvestment Research, Inc., a national leader as a securities broker/dealer, has an opening in the Advocacy & Supervision department as a full time Senior Regional Director.

Essential Duties and Responsibilities:

  • Execute supervision of personal securities activities of Internal Regional Directors OSJ Supervisors, Office of Supervisory Jurisdiction (OSJ) Supervisors or rep-advisors and, when appropriate, provide recommendations and input on continued relationships with such offices

  • 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, acting proactively to manage relationships with rep-advisors, and represent the department on interdepartmental committees, taskforces, and company conferences

  • Maintain comprehensive knowledge of key industry topics, internal programs, departmental procedures, regulatory requirements and firm policy, and overall familiarity, in particular as it relates to changing rules and regulations directly impacting the Firm utilizing resources including, but not limited to: industry periodicals and regulatory announcements and changes

  • Drive overall department effectiveness by monitoring morale and work quality, and training other team members on firm policies, position best practices and regulatory obligations

  • Participate in business planning, resource allocation, and budgeting related to areas of responsibility

Education/Experience:

  • Bachelor’s degree from four-year college or university; or six or more years related experience and/or training; or equivalent combination of education and experience.

Certificates and Licenses:

  • Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, and Series 66required.