Senior Compliance Examiner

Cambridge Investment Research, Inc.

10d • Hybrid

About The Position

Cambridge Investment Group, Inc. is seeking a Senior Examiner to support the daily functions and activities of the Compliance department. Working under the direction of Compliance Leadership, this role leads strategic initiatives, conducts on-site audits of financial professional offices, strengthens department processes, supports team development, and helps ensure adherence to internal policies and industry regulations.

Requirements

• FINRA Series 7, Series 24, Series 63, and either Series 65 or Series 66 licenses.
• Four or more years of related experience, education, and/or training.
• Strong knowledge of financial services compliance, regulatory requirements, and audit practices.
• Excellent analytical and critical-thinking skills, with the ability to identify risk, assess deficiencies, and recommend practical solutions.
• Clear, professional written and verbal communication skills, including the ability to explain regulatory requirements and document audit findings.
• Strong organization, planning, and time-management skills, with the ability to manage multiple audits, deadlines, travel arrangements, and follow-up activities.
• Sound judgment, attention to detail, and discretion when handling sensitive or confidential information.
• Ability to work independently, make informed decisions, and escalate potential compliance concerns appropriately.
• Effective collaboration, coaching, and facilitation skills to support team development and guide others through issue resolution.
• A process-improvement mindset and the ability to develop and implement efficient procedures.
• Flexibility and willingness to travel to financial professional offices as required.
• Valid driver’s license.

Responsibilities

• Lead the planning, development, and implementation of strategic Compliance department initiatives.
• Develop and implement streamlined procedures that improve processes, and train team members on updated procedures as needed.
• Conduct on-site and virtual audits of financial professional offices, including planning audit routes, scheduling visits, and arranging flights, hotels, and rental cars.
• Monitor adherence to internal policies, procedures, rules, and regulations; communicate regulatory updates to financial professionals; and alert management to potential violations.
• Support team members by facilitating training and providing guidance on escalated audit deficiencies through resolution.
• Deliver responsive Compliance support to management, company associates, and financial professionals, tracking open issues and following up consistently to ensure resolution.
• Communicate pre- and post-audit results to management and the financial professional or branch through timely, formal written reports, and follow up to confirm that concerns are corrected within the specified timeframe.
• Maintain current knowledge of compliance regulations and industry topics, and complete continuing education required for FINRA licenses.

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