Cambridge Investment Research, Inc., a national leader as a securities broker/dealer, has an opening in Compliance for a full time Compliance Examiner in our Norcross, GA Office.
The Examiner works under the direction of the Supervisor, External Audit and performs on-site audits of rep-advisor offices.
Essential Duties and Responsibilities:
- Perform on-site audits of rep-advisor offices as directed, plan audit routes, schedule audits, and make appropriate travel arrangements including flights, hotel, and car rental
- Ensure adherence to internal policies and procedures, as well as including informing rep-advisors of new rules and regulations, and inform management of potential violations
- Answer and problem-solve incoming telephone, voice mail, e-mail and in-person requests professionally and courteously
- Communicate pre and post audit results to Management and the rep-advisor or branch via timely formal written reports and follow up to ensure areas of concern are corrected in a specified period of time
- Maintain working knowledge of compliance regulations, industry topics, and continuing education for FINRA licenses
Non-Essential Duties and Responsibilities:
- Be available at the direction of Management for other duties and responsibilities including various projects
- Cross-train other department responsibilities as identified by management
This position has no supervisory duties at this time.
Service Level Standards
Cambridge is committed to consistently delivering the highest levels of service in our industry. Each associate is required to understand and meet the service level standards defined for his/her position, and to participate in the definition, measurement and reporting of new standards that will further improve service. These standards are an integral part of each person’s responsibilities and meeting these standards is a measure of each associate’s job performance.
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- Language Ability: Ability to read, analyze, and interpret common scientific and technical journals, financial reports, and legal documents. Ability to respond to common inquiries or complaints from customers, regulatory agencies, or members of the business community. Ability to write speeches and articles for publication that conform to prescribed style and format. Ability to effectively present information to top management, public groups, and/or boards of directors.
- Mathematical Ability: Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rate, ratio, and percent and to draw and interpret bar graphs.
- Reasoning Ability: Ability to define problems, collect data, establish facts, and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.
- Computer Skills: E-mail, Internet software, spreadsheets and their macros, word-processing and company proprietary software used by the department. Typing skills in the 30-40 wpm range.
- Ability to follow verbal and written communications.
- Ability to communicate effectively with public and co-workers in a professional and courteous manner.
- Ability to express ideas clearly both in written and oral communications.
- Ability to self-motivate and work independently.
- Ability to get ideas accepted and to guide a group or individual to accomplish a task.
- Ability to travel locally and outside of specific geographic area with overnight travel (50-60% of this position is travel).
- Ability to organize and manage multiple priorities (time management).
- Ability to work well under pressure.
- Ability to effectively present information in one-on-one and small group situations to customers, clients, and other employees of the organization.
Bachelor’s degree from four-year college or university; or one to two years related experience and/or training; or equivalent combination of education and experience.
Certificates and Licenses:
Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, Series 63, and Series 65 or Series 66 licenses are required. Valid U.S. Class C driver’s license is required.
Continuous travel throughout the U.S. (Up to 50%)
Indeed - 11 months ago
Cambridge Investment Research, Inc. (Cambridge), member FINRA/SIPC, is an independent, privately owned broker-dealer with over 2,400...