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Cambridge Investment Research, Inc. Advisory Compliance Analyst in Fairfield, Iowa

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 supporting financial professionals to join the Compliance Department for a full time Advisory Compliance Analyst in 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 in a unique small-town community makes this a one-of-a-kind opportunity. Cambridge has been honored 11 times by our associates as a Top Workplace in Iowa1 and 13 times as Broker-dealer of the Year by our financial professionals through Investment Advisor magazine2. We are recognized among the leading firms in the financial advice industry as we serve over 3,700 independent financial professionals and hundreds of thousands of their investing clients across the country.

1The Top Workplace in Iowa, 2020 – 2011, recognition is determined by associate feedback through an anonymous survey conducted by Energage, an independent research company.

2Investment Advisor magazine, 2020, 2019, 2018, 2017, 2016, 2015, 2014, 2013, 2012, 2010, 2008, 2007, Division IV; 2003, Division III.

  • Review, analyze, update, and/or maintain the firm Policy and Procedure Manual

  • Communicate internal policies and procedures, as well as external clearing firm policies and procedures to financial professionals and associates

  • Ensure policies and procedures are being followed, and inform management of potential violations

  • Review, analyze, update, and/or maintain disclosure brochures in accordance with firm policy

  • Review team and department procedures to enhance financial professional experience while maintaining regulatory compliance

  • Assist Independent RIAs by reviewing filings and paperwork, and offering consulting services.

  • Answer incoming telephone, voice mail, e-mail and occasionally in-person requests professionally and courteously including escalated requests, and assist with resolutions as necessary

  • Research rules and regulations, and monitor information of Registered Investment Advisory (RIA) communications

  • Maintain working industry knowledge of key topics and continuing education relative to RIA business and financial services industry

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

Compensation: $45,000-$55,000. 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

  • Profit Sharing Plan

  • Nine paid holidays

You can find more details about our comprehensive benefits package here.

Job ID: 2022-2196

External Company Name: Cambridge Investment Research, Inc.

External Company URL:

Telecommute: No