Regional Director, Supervision

Cambridge Investment Research, Inc. • Phoenix, AZ

13d • Hybrid

About The Position

Cambridge Investment Group is seeking a Regional Director to provide supervisory compliance, and relationship management support within the Advocacy and Supervision department. This role works under the direction of Advocacy and Supervision leadership to support Financial Professionals by forming strong partnerships with the firm, while ensuring business activities are conducted in accordance with firm policies, procedures, and applicable regulatory requirements. The ideal candidate brings strong judgment, service orientation, and the ability to balance flexibility, accountability, and compliance in a collaborative, high-performing environment.

Requirements

• Five or more years of related experience, education, and/or training in financial services, relationship management, compliance, or a related field.
• FINRA Series 7 and 24 licenses are required.
• Strong understanding of supervisory review, regulatory documentation, licensing requirements, correspondence review, exception reporting, and escalation practices.
• Proficiency with Microsoft Office and Adobe Acrobat required.
• Ability to adopt technology, use data and reporting tools effectively, and incorporate AI or automation responsibly to improve daily work activities.
• Ability to travel approximately 8-10 weeks per year for supervisory office visits and related business needs.

Nice To Haves

• FINRA Series 63 or 65, and 51 or 53, licenses are preferred but not required.
• experience with Tableau or similar reporting tools preferred.

Responsibilities

• Serve as a trusted resource for Financial Professionals on business strategy, industry changes, branch office growth, and firm resources.
• Plan regular visits to Financial Professional offices, strengthening partnerships with the firm.
• Identify Financial Professionals with growth opportunities and partner with internal teams to develop and implement strategies that support their success.
• Collaborate with Financial Professionals to shape and communicate new policies, procedures, and services.
• Supervise securities activities by reviewing sales activity, correspondence, regulatory documentation, exception reporting, and related supervisory items.
• Serve as an escalation contact for OSJ Supervisors and designees, Financial Professionals, and internal partners.
• Maintain a strong understanding of company revenue and profitability targets, firm-level goals, industry topics, internal programs, departmental procedures, regulatory requirements, and firm policy.
• Leverage data, reporting tools, and responsible technology adoption to identify needs, support process improvement, and deliver practical solutions.
• Work in partnership with team members across the firm on strategic projects, initiatives, and service improvements as needed.
• Interface internally and externally in a professional and courteous manner to support common goals and ensure timely communication of priorities and status updates.

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