Regulatory & Risk Principal

Cambridge Investment Research, Inc. • Phoenix, AZ

1d • Hybrid

About The Position

The Regulatory & Risk Principal is an experienced, highly collaborative role within Service Experience, working across service, compliance, risk, operations, trading, and technology. The role helps shape how regulatory, supervisory, and operational risk responsibilities are managed and supports improvements to the experience of Financial Professionals, clients, and associates.

The position owns complex regulatory and operational matters and helps teams provide consistent, effective service. It partners with internal teams and external organizations to manage regulatory requirements, resolve issues, prepare for change, and improve processes and controls.

Requirements

• 7+ years of financial services experience in supervision, compliance, operations, regulatory oversight, trading, risk, or a related function.
• Experience managing complex regulatory, operational, or supervisory responsibilities.
• Ability to collaborate across business, compliance, legal, risk, operations, and technology teams.
• Strong judgment and ability to balance regulatory requirements, operational realities, risk, and customer experience.
• Ability to simplify complex information and turn requirements into practical solutions.
• Proactive, solutions-focused mindset and interest in continuous improvement.
• Strong relationship-building and communication skills, particularly when navigating complex or cross-functional issues.
• FINRA Series 7 license.
• FINRA Series 24 license.
• FINRA Series 4 license.
• FINRA Series 53 license.

Responsibilities

• Serve as a regulatory and risk partner across Service Experience, Compliance, Legal, Supervision, Risk Management, Operations, Internal Audit, Technology, and other teams.
• Coordinate regulatory examinations, inquiries, information requests, and follow-up activities.
• Translate regulatory requirements into practical processes, controls, procedures, and guidance.
• Perform or coordinate required principal reviews and approvals within assigned responsibilities.
• Identify emerging risks, recurring issues, control gaps, and opportunities for improvement.
• Help teams prepare for regulatory, technology, vendor, and process changes through communication, education, testing, and implementation.
• Identify root causes and develop sustainable solutions.
• Find ways to reduce Financial Professional and client friction while improving quality, consistency, efficiency, and scalability.
• Bring relevant partners together to resolve complex issues, establish ownership, and drive solutions through completion.
• Partner with clearing firms, vendors, counterparties, and other external partners to manage changes, resolve issues, and maintain service and regulatory standards.

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.
• Eleven paid holidays.

What This Job Offers

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