Client Resolution Analyst

Cambridge Investment Research, Inc.•Phoenix, AZ

21h•Hybrid

About The Position

The Client Resolution Analyst is a detail-oriented professional who plays a critical role in managing and resolving complex client matters. This role is responsible for documenting and monitoring customer complaints, arbitrations, and litigation-related inquiries, ensuring accurate tracking, thorough research, and timely communication throughout the resolution process. The Analyst partners closely with Regulatory Affairs and internal stakeholders to support regulatory responses, maintain compliance with FINRA and firm policies, and uphold the firm’s commitment to client protection and integrity. This role requires a solid understanding of industry regulations, adherence to compliance standards, and a customer-focused approach when supporting internal teams and financial professionals. Through continuous improvement efforts, the Client Resolution Analyst helps strengthen processes, mitigate risk, and enhance the overall client experience. Cambridge, founded in 1981, has nearly 45 years of experience supporting independent financial advisors with industry-leading tools, compliance, and transition services. Guided by core values—integrity, commitment, flexibility, and kindness—the firm is an internally controlled, growth-focused independent broker-dealer with $254 billion in assets under advisement and $1.97 billion in annual revenues. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, Cambridge's 900 associates maintain a 4:1 advisor-to-associate ratio to ensure personalized service. The firm is committed to building a diverse, inclusive, and empowering workplace.

Requirements

Demonstrates strong written and verbal communication skills
Sound judgment when handling sensitive and confidential information
Proactive mindset for identifying process improvements
Obtain the FINRA Securities Industry Essentials (SIE) within 12 months

Responsibilities

Document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the process
Draft written correspondence outlining facts and findings
Communicate information related to regulatory disclosures to appropriate parties
Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
Assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requests
Provide customer service and supply information as needed at request of management, company associates, and registered representatives
Maintain industry knowledge including continuing education for FINRA licenses (Series 7), working knowledge of industry compliance, key industry topics, procedures, issues and concerns
Manage sensitive and confidential matters though planning and protecting security of information, data and files
Utilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficient