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Cambridge Investment Research, Inc. · 1 day ago

Client Resolution Analyst

Fairfield, IA

Full-time

Hybrid

New Grad, Entry Level

$55K/yr - $65K/yr

Cambridge Investment Research, Inc. is a growth-focused independent broker-dealer dedicated to supporting financial advisors. The Client Resolution Analyst plays a crucial role in managing and resolving complex client matters, ensuring compliance with industry regulations and enhancing the overall client experience through effective communication and process improvement.

BankingFinanceFinancial Services

Responsibilities

Document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the process

Draft written correspondence outlining facts and findings

Communicate information related to regulatory disclosures to appropriate parties

Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff

Assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requests

Provide customer service and supply information as needed at request of management, company associates, and registered representatives

Maintain industry knowledge including continuing education for FINRA licenses (Series 7), working knowledge of industry compliance, key industry topics, procedures, issues and concerns

Manage sensitive and confidential matters though planning and protecting security of information, data and files

Utilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficient

Qualification

FINRA complianceCustomer serviceRegulatory knowledgeProcess improvementWritten communicationJudgmentSIE certificationVerbal communicationAttention to detailConfidentialityTeam collaboration

Required

Detail-oriented professional

Solid understanding of industry regulations

Adherence to compliance standards

Customer-focused approach

Strong written and verbal communication skills

Sound judgment when handling sensitive and confidential information

Proactive mindset for identifying process improvements

Ability to document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the process

Ability to draft written correspondence outlining facts and findings

Ability to communicate information related to regulatory disclosures to appropriate parties

Ability to ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff

Ability to assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requests

Ability to provide customer service and supply information as needed at request of management, company associates, and registered representatives

Maintain industry knowledge including continuing education for FINRA licenses (Series 7)

Working knowledge of industry compliance, key industry topics, procedures, issues and concerns

Ability to manage sensitive and confidential matters through planning and protecting security of information, data and files

Utilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficient

Obtain the FINRA Securities Industry Essentials (SIE) within 12 months

Benefits

Paid time off

Paid holidays and floating holidays

Medical, dental, and vision coverage

Short- and long-term disability

Company-paid life insurance

Volunteer time off

Wellness incentives

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