Senior Supervision Principal

Job Summary

We are seeking a detail‑oriented and knowledgeable Advocacy and Supervision Principal to join our team. This role involves the review, analysis, and approval of daily financial transactions, ensuring adherence to external and internal policies, and providing exceptional support to financial professionals. The ideal candidate will play a key role in maintaining compliance, overseeing account approvals, and supporting the training of new financial professionals.

• Effectively review, analyze, and approve daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts.
• Ensure all transactions comply with regulatory standards and company policies.
• Monitor adherence to external and internal policies and procedures by registered representatives and staff.
• Identify and escalation potential compliance issues as needed.
• Conduct timely reviews and approvals of accounts, including the verification of Client Information and Suitability Forms.
• Oversee and review Office of Supervisory Jurisdiction (OSJ)-approved trades daily to ensure accuracy and compliance.
• Provide professional and courteous problem‑solving and troubleshooting support via phone, voicemail, email, and occasionally in person.
• Assist existing and new financial professionals, as well as internal staff, with inquiries and issues.
• Assist in organizing and conducting training sessions for new financial professionals, including phone training and administrative workshops.
• Work closely with the Manager of Direct Operations and senior management to address escalated issues and provide updates as needed.

Intermediate level of experience, typically around 5+ years of experience in compliance, industry regulations, procedures/policies or a related field within the financial industry.

• Financial Industry Regulatory Authority (FINRA) Series 7 and 24 required.

$75,. The salary range provided is a good faith estimate based on 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 is designed to support 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, and company‑paid life insurance. Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support you both personally and professionally.

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 our core values—integrity, commitment, flexibility, and kindness—we put financial advisors first in every decision we make.

Cambridge is an internally controlled, growth‑focused independent broker‑dealer with $254 billion in assets under advisement and $1.97 billion in annual revenues. We rank among the largest and fastest‑growing firms in the industry, providing financial advisors with the flexibility, resources, and support to thrive.

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 at this time.