Client Resolution Analyst

Job Summary

The Client Resolution Analyst is a detail‐oriented professional responsible for documenting and monitoring complex client complaints, arbitrations, and litigation inquiries. The role ensures accurate tracking, thorough research, and timely communication throughout the resolution process. It partners closely with Regulatory Affairs and internal stakeholders to support regulatory responses, maintain compliance with FINRA and firm policies, and uphold the firm’s commitment to client protection and integrity.

• Document receipt of complex customer complaints, arbitrations, and litigations, and monitor the process
• Draft written correspondence outlining facts and findings
• Communicate information related to regulatory disclosures to appropriate parties
• Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
• Assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documenting all information requests
• Provide customer service and supply information as needed at the request of management, company associates, and registered representatives
• Maintain industry knowledge including continuing education for FINRA licenses (Series 7), working knowledge of industry compliance, key industry topics, procedures, issues and concerns
• Manage sensitive and confidential matters by planning and protecting the security of information, data, and files
• Utilize continuous improvement tools to locate procedural gaps and lead efforts to make processes more efficient

The ideal candidate demonstrates strong written and verbal communication skills, sound judgment when handling sensitive and confidential information, and a proactive mindset for identifying process improvements.

• This position requires obtaining the FINRA Securities Industry Essentials (SIE) within 12 months.

$55,000–$65,000. This estimate reflects the ideal candidate’s qualifications, the company’s operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location.

Our comprehensive benefits package supports your health, well‑being, and work‑life balance. We offer 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, and additional benefits that support both your personal and professional growth.

At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have nearly 45 years of experience supporting independent financial advisors with industry‑leading tools, compliance, and transition services. Guided by integrity, commitment, flexibility, and kindness, we put financial advisors first in every decision we make.

This role offers a hybrid schedule, requiring three days weekly in the office. Applicants should be located near one of our hubs (Fairfield, IA or Phoenix, AZ) and must be willing to work this schedule. Cambridge is not considering remote candidates for this role at this time.

This position is managed directly by Cambridge’s Talent Acquisition team. Fees will not be paid for unsolicited submissions. Thank you for respecting this process.