Account Review Specialist

Cambridge Investment Research, Inc.•Phoenix, AZ

4d•Hybrid

About The Position

As an Account Review Specialist, you will review account documentation, support compliance processes, and help ensure adherence to internal and external regulatory requirements. This role is suited to a detail-oriented professional who enjoys problem-solving, collaboration, and contributing to a high-performing team. The position is based in Fairfield, Iowa, or Phoenix, Arizona, with a hybrid schedule requiring three days per week in the office.

Requirements

Ability to interpret policies, procedures, and business documentation.
Ability to manage confidential information responsibly.
Strong attention to detail and organizational skills.
Excellent written and verbal communication skills.
Effective problem-solving and analytical skills.
Ability to work well in a collaborative team environment.

Nice To Haves

Experience in financial services, operations, compliance, or account processing.
Familiarity with investment advisory or brokerage industry practices.
Experience working in a fast-paced, service-oriented environment.

Responsibilities

Communicate policies and procedures to advisors and associates while helping maintain regulatory compliance.
Identify potential policy violations and escalate concerns to leadership when appropriate.
Respond professionally and in a timely manner to phone, email, voicemail, and occasional in-person inquiries.
Research industry rules, regulations, and compliance requirements.
Monitor and support registered investment advisory (RIA) communications and documentation.
Develop and maintain knowledge of industry compliance standards, regulations, and best practices.
Handle sensitive and confidential information with discretion and professionalism.
Participate in departmental projects and cross-training opportunities as needed.