Job Opportunities in United States
September 17, 2024
Cambridge Investment Research, Inc.
Phoenix
FULL TIME
Surveillance Analyst
Overview:
Job Summary: We are seeking a detail-oriented Surveillance Analyst to oversee the firm’s regulatory and supervisory functions. This role is responsible for ensuring adherence to internal policies, industry regulations, and external clearing firm procedures. The individual will conduct thorough reviews of business activities, transactions, and communications to detect, prevent, and resolve potential violations. The ideal candidate will provide exceptional compliance-related support to internal teams and financial professionals while maintaining up-to-date knowledge of industry regulations and FINRA licenses.
Why Join Us:
Compensation: $55,000 - $70,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidate’s qualifications, the Company’s operational needs, and other considerations permitted by law. The actual pay offered to a specific candidate may vary above or below the stated range.
Benefits: Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.
About Us: Cambridge Investment Research Inc. is one of the nation’s top independent financial solutions firms. We are committed to fostering an inclusive and dynamic work environment where innovation, collaboration, and growth are encouraged. Our team is dedicated to driving success and creating a workplace where every employee feels valued and empowered.
Job Summary: We are seeking a detail-oriented Surveillance Analyst to oversee the firm’s regulatory and supervisory functions. This role is responsible for ensuring adherence to internal policies, industry regulations, and external clearing firm procedures. The individual will conduct thorough reviews of business activities, transactions, and communications to detect, prevent, and resolve potential violations. The ideal candidate will provide exceptional compliance-related support to internal teams and financial professionals while maintaining up-to-date knowledge of industry regulations and FINRA licenses.
Why Join Us:
- Innovative Culture: Be part of a forward-thinking company that values creativity and innovation.
- Career Growth: Opportunities for professional development and career advancement.
- Comprehensive Benefits: Competitive salary, health insurance, retirement plans, and other employee benefits
-
Supervisory and Regulatory Oversight:
- Analyze exception reporting data to detect, prevent, and resolve potential policy violations.
- Review and approve Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) in compliance with regulatory standards.
- Coordinate Personal Securities Authorizations and ensure compliance with company policies.
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Quality Assurance:
- Perform trade review and correspondence review quality assurance for OSJ Supervisors, ensuring accurate and compliant documentation.
- Collaborate with department stakeholders to address and resolve any compliance-related issues.
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Compliance Support and Communication:
- Provide compliance-related customer service to management, associates, and financial professionals.
- Track open compliance issues and ensure timely follow-up and resolution.
- Communicate internal and external policies and procedures to financial professionals and employees, ensuring adherence and reporting potential violations to management.
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Regulatory Knowledge and Continuing Education:
- Stay current with industry regulations, key compliance topics, and required continuing education for maintaining FINRA licenses (Series 7 and 24).
- Inform management and team members of changes to regulatory requirements and policies as needed.
The ideal candidate would possess an intermediate level of experience, typically around 5 or more years, with Compliance practices.
Certificates & Licenses:
This job requires obtaining FINRA Securities Industry Essentials (SIE), Series 7 and Series 24 licenses within 9 months of hire.
Compensation: $55,000 - $70,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidate’s qualifications, the Company’s operational needs, and other considerations permitted by law. The actual pay offered to a specific candidate may vary above or below the stated range.
Benefits: Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.
- Premium benefit package including medical, vision, dental, life and long-term disability insurance
- Vacation/sick time
- 401K retirement plan with company matching program
- Eleven paid holidays
You can find more details about our comprehensive benefits package here.
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