Supervision Principal - Trade Review

Cambridge Investment Research, Inc. • Phoenix, AZ

2d

About The Position

Cambridge is seeking an Advocacy and Supervision Principal with an emphasis on Trade Review. The role reviews, analyzes, and approves daily transactions and account activity while helping ensure compliance with firm policies, clearing firm requirements, and applicable regulatory standards. The position calls for thoughtful, detail-oriented decision-making to assess complex situations, identify potential risk, and balance service with sound supervisory judgment.

The Principal uses compliance and reporting tools to conduct supervisory reviews and identify activity that may require escalation. The role also reviews client and account documentation, provides oversight of OSJ approval trades and brokerage transactions for financial professionals reporting to the home office, researches complex questions, and makes independent recommendations. It includes supporting financial professionals and staff with troubleshooting and helping organize, develop, and deliver training programs and materials.

Cambridge is a financial solutions firm that provides business support services to independent financial advisors, including compliance, technology, and transaction processing support.

Requirements

• 2+ years of related experience, education, and/or training in supervision, compliance, brokerage operations, financial services, or a related field.
• FINRA Series 7 and Series 24 licenses are required.
• Strong understanding of FINRA regulations and ability to research and apply guidance to complex questions.
• Fluent in technology and an active participant in change management.
• Ability to assess complex situations and transactions, identify risk, and determine when escalation is appropriate.
• Ability to balance risk management, service, and relationship management while making sound supervisory decisions.
• Demonstrated initiative, self-motivation, and ability to work independently without close direction.
• Ability to organize and manage multiple priorities, meet deadlines, and work effectively under pressure.
• Detail-oriented, resourceful, and comfortable working through complex or ambiguous situations.
• Sound judgment, strong communication skills, and ability to make independent decisions and clearly explain the rationale behind them.

Nice To Haves

• FINRA Series 51 license.
• FINRA Series 66 license.

Responsibilities

• Use the firm’s compliance engine, including ProSurv for trade surveillance and supervisory review, dual brokerage platforms, clearing firm reports, and custom reporting tools to conduct supervisory reviews and identify activity that may require escalation.
• Review, analyze, and approve daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts.
• Review client information, suitability forms, new account documentation, sponsor applications, third-party money manager agreements, CIRA advisory agreements, and independent advisory paperwork for completeness, accuracy, and acceptance.
• Review and oversee OSJ approval trades and brokerage account transactions for financial professionals reporting to the home office.
• Research complex questions, assess suitability and risk, and make independent recommendations while maintaining strong working relationships with financial professionals and internal partners.
• Ensure adherence to firm policies and procedures, clearing firm policies, and applicable requirements; inform management of potential violations or concerns.
• Provide professional, courteous problem-solving and troubleshooting support for inbound phone calls, voicemails, emails, and occasional in-person inquiries from existing and new financial professionals and staff.
• Assist with the organization, development, and delivery of training programs and materials for new and existing financial professionals, including phone training and administrative workshops.
• Investigate activity rather than simply process it, ask thoughtful questions, navigate available resources, make difficult decisions when appropriate, and escalate concerns appropriately.

Benefits

• Premium benefit package including medical, vision, dental, life, and long-term disability insurance.
• Vacation and sick time.
• 401(k) retirement plan with company matching program.
• Eleven paid holidays.
• Competitive benefits and promotion of work/life balance.

What This Job Offers

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