Regional Director, Supervision

Cambridge Investment Research, Inc.

11d

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. Under the direction of Advocacy and Supervision leadership, this role supports Financial Professionals by forming strong partnerships with the firm while ensuring business activities comply with firm policies, procedures, and applicable regulatory requirements. The role calls for strong judgment, a service orientation, and the ability to balance flexibility, accountability, and compliance in a collaborative, high-performing environment. The Regional Director serves as a resource and escalation contact for Financial Professionals, OSJ Supervisors and designees, and internal partners. The position supervises securities activities, supports Financial Professional growth, communicates policies and services, and contributes to strategic projects and process improvements. Travel is approximately 8–10 weeks per year for supervisory office visits and related business needs.

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 Series 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.
Ability to adopt technology, use data and reporting tools effectively, and responsibly incorporate AI or automation 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 Series 65 license.
FINRA Series 51 or Series 53 license.
Experience with Tableau or similar reporting tools.

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 to strengthen 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.
Use data, reporting tools, and technology responsibly to identify needs, support process improvement, and deliver practical solutions.
Work with team members across the firm on strategic projects, initiatives, and service improvements as needed.
Communicate professionally and courteously with internal and external stakeholders, supporting shared goals and timely updates on priorities and status.