Job Summary
Cambridge Investment Group, Inc. is seeking a Senior Examiner to support the daily functions and activities of the Compliance department. Working under the direction of Compliance Leadership, this role leads strategic initiatives, conducts on-site audits of financial professional offices, strengthens department processes, supports team development, and helps ensure adherence to internal policies and industry regulations.
Key Deliverables and Responsibilities
- Lead the planning, development, and implementation of strategic Compliance department initiatives.
- Develop and implement streamlined procedures that improve processes, and train team members on updated procedures as needed.
- Conduct on-site and virtual audits of financial professional offices, including planning audit routes, scheduling visits, and arranging flights, hotels, and rental cars.
- Monitor adherence to internal policies, procedures, rules, and regulations; communicate regulatory updates to financial professionals; and alert management to potential violations.
- Support team members by facilitating training and providing guidance on escalated audit deficiencies through resolution.
- Deliver responsive Compliance support to management, company associates, and financial professionals, tracking open issues and following up consistently to ensure resolution.
- Communicate pre- and post-audit results to management and the financial professional or branch through timely, formal written reports, and follow up to confirm that concerns are corrected within the specified timeframe.
- Maintain current knowledge of compliance regulations and industry topics, and complete continuing education required for FINRA licenses.
What We Are Looking For
- FINRA Series 7, Series 24, Series 63, and either Series 65 or Series 66 licenses.
- Four or more years of related experience, education, and/or training.
- Strong knowledge of financial services compliance, regulatory requirements, and audit practices.
- Excellent analytical and critical-thinking skills, with the ability to identify risk, assess deficiencies, and recommend practical solutions.
- Clear, professional written and verbal communication skills, including the ability to explain regulatory requirements and document audit findings.
- Strong organization, planning, and time-management skills, with the ability to manage multiple audits, deadlines, travel arrangements, and follow-up activities.
- Sound judgment, attention to detail, and discretion when handling sensitive or confidential information.
- Ability to work independently, make informed decisions, and escalate potential compliance concerns appropriately.
- Effective collaboration, coaching, and facilitation skills to support team development and guide others through issue resolution.
- A process-improvement mindset and the ability to develop and implement efficient procedures.
- Flexibility and willingness to travel to financial professional offices as required.
- Valid driver’s license.
Why Cambridge?
Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.
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Premium benefit package including medical, vision, dental, life and long-term disability insurance
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Vacation/sick time
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401K retirement plan with company matching program
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Eleven paid holidays
You can find more details about our comprehensive benefits package here.
Cambridge Overview:
Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country. Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.
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