Senior Director, Advocacy & Supervision

Cambridge Investment Research, Inc. • Phoenix, AZ

1d • Hybrid

About The Position

Cambridge Investment Group is seeking a Director, Advocacy and Supervision to lead a territory of multiple roles, including Regional Directors, Associate Regional Directors, and Principals, who build and maintain strong relationships with Financial Professionals while balancing advocacy, service, supervision, and regulatory responsibilities. This leader will help drive department effectiveness, strengthen business partnerships, support compliance with industry requirements, and foster a high-performing team focused on exceptional customer service.

Requirements

• 4+ years of Financial Professional supervision experience.
• 4+ years of leadership experience.
• FINRA Series 7, 24 required.
• Ability to travel locally within a specific geographic area, with limited overnight travel outside the area when applicable.

Nice To Haves

• Series 4, 51 or 53 preferred; other licenses or certificates may be required as dictated by the department.

Responsibilities

• Lead, coach, and mentor associates, fostering professional development, accountability, and positive associate experiences that contribute to long-term business success.
• Cultivate strong, trusted relationships with Financial Professionals, direct reports, and internal partners to deliver exceptional service and support compliance with industry regulations.
• Drive overall department effectiveness by directing operations, setting priorities, and aligning team objectives with business and competitive strategy.
• Develop and direct strategic initiatives related to company and departmental policies, procedures, and service standards for internal and external customers.
• Serve as an escalation contact and trusted resource for OSJ Supervisors, Financial Professionals, designees, and internal partners.
• Review and support supervision activities, including sales activity, correspondence, and documentation requirements.
• Identify and lead process improvement initiatives using continuous improvement methods and tools to enhance team efficiency and effectiveness.
• Partner across the firm on strategic projects, cross-divisional committees, and task forces as needed.
• Maintain accurate records, document actions for managed areas, and support budgetary processes as appropriate.
• Maintain a current working knowledge of industry topics, regulatory requirements, internal programs, firm policies, and departmental procedures.

Benefits

• Premium benefit package including medical, vision, dental, life and long-term disability insurance
• Vacation/sick time
• 401K retirement plan with company matching program
• Eleven paid holidays

What This Job Offers

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