109 applicants

Company

Cambridge Investment Research, Inc. · 1 week ago

Regional Director

United States

Full-time

Remote

Lead/Staff, Director/Executive

$95K/yr - $120K/yr

7+ years exp

Maximize your interview chances

BankingFinance

Insider Connection @Cambridge Investment Research, Inc.

Discover valuable connections within the company who might provide insights and potential referrals.
Get 3x more responses when you reach out via email instead of LinkedIn.

Responsibilities

Collaborate with Office of Supervisory Jurisdiction (OSJ) Supervisors and direct report financial professionals to communicate new policies, procedures, and updates.

Supervise the personal securities activities of OSJ Supervisors and direct report financial professionals, ensuring compliance by reviewing and approving sales activities, correspondence, and acting as an escalation contact for complex issues.

Serve as a key resource for financial professionals, focusing on identifying and addressing their needs through data-driven insights and providing exceptional customer support to ensure satisfaction and alignment with the firm’s goals.

Partner with cross-functional teams on firmwide strategic initiatives, providing input and expertise to help drive company success.

Act as a trusted advisor, offering guidance on business strategy, industry trends, and branch office expansion. Regularly visit financial professionals in their offices to strengthen relationships and provide training and development opportunities.

Identify financial professionals with potential for growth and collaborate with internal teams to create and execute strategies that foster their success and align with firm objectives.

Maintain a comprehensive understanding of the firm’s revenue targets, profitability goals, industry trends, internal programs, regulatory requirements, and departmental procedures. Ensure alignment with company objectives and policy compliance.

Interact professionally with internal and external stakeholders to communicate goals, progress, and initiatives, maintaining positive relationships and achieving the firm’s objectives.

Qualification

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Financial Services ExperienceCompliance KnowledgeIndustry Regulations UnderstandingFINRA SIE CertificationSeries 7 CertificationSeries 24 CertificationStrategic Project CollaborationBusiness Strategy Support

Required

7+ years of experience in compliance, industry regulations, procedures/policies or a related field within the financial industry

Obtaining FINRA Securities Industry Essentials (SIE), Series 7 and 24

Preferred

Excellent written and verbal communication skills

Benefits

Comprehensive medical, dental, and vision plans; wellness stipends and resources; and mental health support.

401(k) retirement plan with company matching program

Paid time off, eleven paid holidays, family leave, and options for hybrid work.

Access to learning platforms, mentorship programs, and leadership training.

Company

Cambridge Investment Research, Inc.

Do you control your journey? Are you independent? At Cambridge, we are business innovators, financial planners, wealth advisors, business builders, next generation, retirement planners, visionaries, investment advisors, succession planners, entrepreneurs, and business owners.

Founded in 1981

Fairfield, Iowa, USA

501-1000 employees