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Cambridge Investment Research, Inc. · 8 hours ago

Compliance Communication Analyst

Phoenix, AZ

Full-time

Hybrid

New Grad, Entry Level

$55K/yr - $65K/yr

Cambridge Investment Research, Inc. is a growth-focused independent broker-dealer committed to supporting financial advisors. The Compliance Communication Analyst role involves monitoring and managing electronic communications to ensure compliance with industry regulations while providing technology support and education to financial professionals.

BankingFinanceFinancial Services

Responsibilities

Run, generate, and analyze reports across multiple systems to identify trends, risks, and potential compliance concerns related to electronic communications

Provide technology support and troubleshooting for social media provisioning, encrypted email accounts, and supervisory email review systems, including new user access setup

Monitor, research, and track instances of off-channel communications, document findings, and escalate issues to management as appropriate

Educate financial professionals on confidentiality requirements and best practices for transmitting client information through approved communication channels

Ensure adherence to internal policies, external regulations, and supervisory procedures for both internal associates and external financial professionals

Organize and maintain departmental resources, including spreadsheets, databases, reports, and standard operating procedures

Collaborate with internal partners to identify process improvement opportunities, promote best practices, and enhance operational efficiency

Serve as a knowledge resource and mentor within the department by providing training, coaching, answering questions, and supporting communications training tracking

Qualification

Compliance experienceData analysisElectronic communications oversightTechnology supportAnalyticalDetail-orientedCustomer-focusedMentoring

Required

Detail-oriented and analytical professional

Experience in compliance, supervision, or operational support within the financial services industry

Understanding of electronic communications oversight

Understanding of confidentiality requirements

Understanding of regulatory expectations

Comfortable analyzing data and reports to identify trends and potential risks

Customer-focused

Technologically proficient

Ability to clearly educate and support financial professionals

Demonstrating sound judgment and professionalism

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