Compliance Commmunications Analyst

Cambridge Investment Research, Inc. • Phoenix, AZ

13d

About The Position

The Compliance Communications Analyst supports financial professionals with technology and troubleshooting needs related to archiving and encrypted email, social media provisioning, and supervisory review systems. The role sets up user access, runs and analyzes compliance-system reports, and works with outside vendors to resolve issues. It also provides guidance on protecting client information in email and helps ensure users follow applicable policies and procedures.

The analyst delivers compliance-related customer service, tracks and follows up on open issues, communicates with internal and external stakeholders, and organizes departmental information such as spreadsheets, databases, and standard operating procedures. The role also contributes to process improvements, shares best practices, mentors and trains colleagues, maintains knowledge of industry compliance topics, and cross-trains on other department responsibilities.

Requirements

• Two or more years of related experience, education, and/or training.
• A customer-first mindset and an empathetic, kind approach to helping others.
• Technical troubleshooting skills, including resolving access issues such as password resets.
• Comfort navigating and working in spreadsheets.
• Familiarity with Microsoft Copilot, Excel, Outlook, Gmail, Smarsh, and Redtail.
• Strong verbal communication skills.
• A resourceful, curious approach, with the ability to learn quickly, find the right resources, and ask the right questions.

Responsibilities

• Provide financial professionals with technology and troubleshooting support for archiving and encrypted email and social media provisioning.
• Set up new user access in software systems used to conduct supervisory email review.
• Run reports and analyze data within compliance software systems.
• Collaborate with outside vendors to troubleshoot and resolve problems.
• Educate financial professionals on maintaining confidentiality when sending client information via email.
• Ensure internal and external users adhere to applicable policies and procedures.
• Provide compliance-related customer service, track open issues, and follow up consistently to ensure they are resolved.
• Communicate with internal and external customers and supply information as requested by management, company associates, and financial professionals.
• Build and maintain positive relationships with financial professionals by delivering excellent service and exemplifying Cambridge core values.
• Organize and maintain departmental information, including spreadsheets, database software, and standard operating procedures.
• Identify and promote opportunities to improve processes, share best practices, and increase efficiency.
• Serve as a knowledge leader and mentor within the department through training, coaching, and answering questions.
• Maintain working knowledge of industry compliance topics, procedures, issues, and concerns.
• Cross-train on other department responsibilities as identified by management.

Benefits

• Premium benefits package including medical, vision, dental, life, and long-term disability insurance.
• Vacation and sick time.
• 401(k) retirement plan with company matching program.
• Eleven paid holidays.

What This Job Offers

• Job Type: Full-time
• Education Level: No Education Listed