Senior Financial Compliance & Supervision Lead
Listed on 2026-10-07
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Finance & Banking
Regulatory Compliance Specialist -
Management
Regulatory Compliance Specialist
Cambridge Investment Research, Inc. is seeking an Advocacy and Supervision Principal to join the Advocacy and Supervision department.
This role reviews, analyzes, and approves daily transactions and account activity to ensure adherence to firm policies and regulatory standards. The ideal candidate brings strong supervisory judgment, risk assessment skills, and experience in supervision or compliance, with FINRA Series 7 and 24 licenses; hybrid work in Phoenix, AZ or Fairfield, IA.
Join us at Cambridge Investment Research, Inc. as our next Senior Financial Compliance & Supervision Lead in Fairfield, IA, United States.
For the Senior Financial Compliance & Supervision Lead position at Cambridge Investment Research, Inc., we are reviewing applications now.
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