Cambridge Investment Research, Inc. Operations Account Supervision Registered Principal in United States
Cambridge Investment Research, Inc. has an opening in the Operations Department for a full-time Registered Principal in our Fairfield, Iowa office. The Principal works under the direction of Operations Leadership and analyzes and approves aspects of the daily function in the department.
100 hours of vacation/sick time the first year
Eight paid holidays
Premium benefit package including medical, vision, dental, life, and short-term/long-term disability insurance
401k retirement plan with company match program
Enrollment in the Cambridge Employee Profit Sharing Plan
Wellness incentive with participation of annual health screenings
Paid time off for volunteering
Local recreation center discounts
Free financial planning courses
Plus, we provide our associates with abundant career opportunities through professional development, promotions from within, and career growth assistance.
Work-life balance is the key to individual success. When our associates have downtime, they enjoy taking walks around our quarter-mile trail, playing a quick round of bags, or participating in our annual company-wide volleyball tournament. When the temperature begins to drop, the activities move indoors with ping-pong competitions and yoga sessions.
Cambridge has been honored 11 times by our associates as a ‘Top Workplace in Iowa’, and 13 times as ‘Broker-dealer of the Year’ by Investment Advisor magazine. We are recognized among the leading firms in the financial advice industry as we serve over 3,600 independent financial professionals and hundreds of thousands of their investing clients across the country.
Effective review, analysis and approval of daily transactions (including Mutual Funds, Variable Annuities, Variable Life, 529 Plans and Direct Participation Programs/Real Estate Investment Trusts).
Ensure external and internal policies and procedures are being followed by registered representatives and staff.
Timely review and acceptance of accounts for Cambridge Investment Research including accurate review and approval of Client Information and Suitability Forms.
Timely daily review and oversight of OSJ (Office of Supervisory Jurisdiction) approved trades.
Professional and courteous problem solving and trouble-shooting of inbound phone, voice mail, e-mail and occasionally in-person inquiries from the company’s existing registered representatives, new representatives and staff.
Assist with organization and development of training new reps including phone training and administrative workshops (conducted locally).
Direct questions and information to Manager of Direct Operations and senior management as needed.
Two or more years of related experience, education and/or training.
This job requires obtaining FINRA Series 7 and 24 licenses within the first 6 and 9 months respectively in order to complete job responsibilities. Cambridge will provide financial and educational support towards obtaining required license(s) including paid study time, training courses, study materials and online resources.
Job ID: 2021-1663
External Company URL: https://www.joincambridge.com/home/