Cambridge Investment Research, Inc. · 6 hours ago
Assistant Vice President, Compliance
Phoenix, AZ
Full-time
Hybrid
Senior Level, Lead/Staff
$150K/yr - $190K/yr
10+ years expCambridge Investment Research, Inc. is a leading independent broker-dealer dedicated to supporting financial advisors. The Assistant Vice President, Compliance will oversee the compliance program, ensuring effective controls and providing leadership across broker-dealer and investment advisory functions.
BankingFinanceFinancial Services
Responsibilities
Assess regulatory and business risk, develop and maintain policies and procedures, and ensure compliance controls operate effectively and consistently across the organization
Provide comprehensive compliance leadership across BD and RIA functions, including trade surveillance, advertising review, licensing and registration, AML, advisory compliance, OBAs and private securities transactions, branch inspections, and supervisory controls
Serve as a key advisor on complex and evolving risk areas, including compensation and payment practices, best execution oversight for equity and fixed income trading, fraud prevention controls, cybersecurity, and vendor management
Lead proactive identification, assessment, and management of conflicts of interest for both the BD and RIA, including product, fee and expense, share class, wrap program, revenue sharing, and trading-related conflicts
Oversee regulatory filings and disclosures, including Form ADV, ensuring accuracy, completeness, and alignment with regulatory expectations
Partner closely with business, operations, technology, and supervision teams to provide practical compliance guidance that supports strategic initiatives and operational change
Monitor regulatory developments and industry trends, advising leadership on emerging risks, rule changes, and required enhancements to the compliance program
Support examinations, audits, and internal reviews, including regulator interactions, issue remediation, and ongoing program enhancements
Qualification
Required
10+ years of compliance experience within a broker‑dealer, investment adviser, or regulatory body
At least five years in senior leadership roles
FINRA Series 7 certification
FINRA Series 24 certification
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.
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
Company data provided by crunchbase