Cambridge Investment Research, Inc. Supervisory Principal in West Des Moines, Iowa
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 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 10 times by our associates as a ‘Top Workplace in Iowa’, and 13 times as ‘Broker-dealer of the Year’ by our financial professionals through Investment Advisor magazine. 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.
The Jordan Creek Financial Services Supervisory Principal works under the direction of Jordan Creek Financial Services Leadership to primarily serve as a supervisory designee reviewing, analyzing and approving client accounts and activity, including various financial professional activities.
Act as Office of Supervisory Jurisdiction (OSJ) Designee by reviewing and approving direct report correspondence, securities activities, FINRA/Insurance licensing, Outside Business Activity (OBA) reports, daily trade blotters, and any other reports to ensure supervisory review of direct reports in assigned regions.
Review, analyze and approve new account and account transactions for all financial professionals who report to Jordan Creek Financial Services
Respond to trade keys, telephone calls, voice messages, faxes, scanned documents, and e-mail in a prompt, professional and courteous manner
Ensure adherence to firm policies and procedures, clearing firm policies, procedures for financial professionals and inform management of potential violations
Support and complete supervisory visits, including gathering pertinent information for visits, completing visit face-to-face and following up on items related to visits
Maintain comprehensive knowledge of key industry topics, Jordan Creek Financial Services and Cambridge programs, policies and procedures, regulatory requirements, and overall familiarity, in particular as it relates to changing rules and regulations
Four or more years of related experience, education and/or training
This job requires the FINRA Series 7 and 24 licenses in order to complete job responsibilities.
The FINRA Series 66 license is preferred.
Job ID: 2021-1665
External Company Name: Cambridge Investment Research, Inc.
External Company URL: https://www.joincambridge.com/home/