Cambridge Investment Research, Inc. · 3 days ago
Senior Compliance Leader
Fairfield, IA
Full-time
Hybrid
Senior Level, Lead/Staff, Director/Executive
$150K/yr - $190K/yr
10+ years expCambridge Investment Research, Inc. is a growth-focused independent broker-dealer with nearly 45 years of experience supporting financial advisors. The Senior Compliance Leader will provide end-to-end compliance leadership, ensuring regulatory expectations are met while supporting business growth and managing risks across various compliance functions.
BankingFinanceFinancial Services
Responsibilities
You’ll provide end‑to‑end compliance leadership and serve as a trusted resource across core BD and RIA functions, including trade surveillance; advertising review; licensing and registration; AML; investment advisory compliance; OBAs and private securities transactions; branch inspections; and supervisory controls
You’ll assess risk, develop practical policies and procedures, and ensure controls operate effectively to meet regulatory expectations and business needs
You’ll also consult on complex and evolving risk areas, including compensation and payment practices; best‑execution oversight for equity and fixed‑income trading; fraud‑prevention controls across cashiering and payment processes; cybersecurity and vendor management; and regulatory filings, including Form ADV
A key component of the role is proactive conflicts identification and management for both the BD and RIA. This includes conflicts related to products, fees and expenses, share classes, wrap programs, revenue sharing, and trading activity
Qualification
Required
10+ years of compliance experience within a broker-dealer, investment adviser, or regulatory body, including at least five years in senior leadership roles
This job requires the FINRA Series 7 and 24
Deep regulatory expertise
Strong risk judgment
Practical, solutions-oriented approach to designing and maintaining controls
Ability to translate FINRA, SEC, MSRB, and Investment Advisers Act guidance into practical policy and advice
Effective communication skills at all levels
Experience developing others and driving continuous improvement
Comfortable with technology and curious about how AI and emerging tools can enhance processes
Strong ethical compass
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
Additional benefits that support you both personally and professionally
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.
501-1000 employees
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 and Chief Executive Officer
Recent News
Investment News
2026-01-22
2026-01-06
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