Cambridge Investment Research, Inc. · 4 hours ago
Operations CAAP Trader
Phoenix, AZ
Full-time
Hybrid
Mid Level
$55K/yr - $65K/yrCambridge Investment Research, Inc. is a growth-focused independent broker-dealer dedicated to supporting financial advisors. The CAAP Trader is responsible for executing various trades while ensuring compliance and providing exceptional customer service to financial professionals and clients.
BankingFinanceFinancial Services
Responsibilities
Execute and manage all types of trade transactions, including Fixed Income, Equities/ETFs, Options, UITs, and Mutual Funds, ensuring precision and adherence to client goals
Deliver superior customer service by addressing inquiries related to trading, supplying necessary information, and coordinating with internal teams to track and resolve open issues
Review transaction reports to identify and take appropriate trade actions as needed
Monitor accounts to ensure alignment with assigned models, making necessary adjustments as required
Conduct thorough research and apply product knowledge to troubleshoot errors and resolve issues for financial professionals and clients
Communicate and clarify internal policies, procedures, and external clearing firm regulations to financial professionals, highlighting any potential violations to management
Stay up-to-date on industry trends and regulatory updates to enhance service delivery and maintain compliance
Qualification
Required
Intermediate level of experience in operations or trading within the financial services industry
FINRA Securities Industry Essentials (SIE)
Financial Industry Regulatory Authority (FINRA) Series 7 required
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
501-1000 employees
H1B Sponsorship
Cambridge Investment Research, Inc. has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (3)
2024 (7)
2023 (6)
2022 (5)
2021 (10)
2020 (13)
Funding
Current Stage
Late StageTotal Funding
$15.89M2024-03-19Series Unknown· $6.31M
2014-08-22Series Unknown· $6.13M
2013-06-25Series Unknown· $3.46M
Leadership Team
Amy Webber
President & Chief Executive Officer
Recent News
2025-12-03
Company data provided by crunchbase