Cambridge Investment Research, Inc.
Join to apply for the
Compliance Analyst
role at
Cambridge Investment Research, Inc.
2 days ago Be among the first 25 applicants
Join to apply for the
Compliance Analyst
role at
Cambridge Investment Research, Inc.
Overview Job Summary:
Cantella is seeking an experienced
Compliance Analyst
to play a key role in maintaining and strengthening our
regulatory and operational oversight . This position is responsible for conducting regular branch audits, providing
supervisory compliance support , and serving as a trusted resource for our financial advisors. The ideal candidate brings deep knowledge of independent broker-dealer operations, with specific expertise in National Financial Fidelity and Pershing platforms, along with strong product knowledge.
As an ambassador of advisor relationships, the Compliance Analyst will foster trust and collaboration while ensuring adherence to regulatory standards. This role requires travel to branch locations, as well as consistent presence at our
Malden, MA , home office at least two days per week. Success in this role demands exceptional attention to detail, clear communication, and the ability to work both independently and as part of a team in a fast-paced, regulatory-driven environment.
Essential Duties
Conduct frequent on-site branch audits to ensure compliance with regulatory standards and firm policies. Branches are heavily east coast based, but have do have branches across the US.
Identify audit findings, recommend corrective actions, and follow up on remediation plans.
Serve day-to-day supervision responsibilities as well as audit responsibilities
Email review
Trade review
New account approvals - including variable annuity approvals.
Work with financial advisors to troubleshoot compliance issues should they arise
Collaborate with branches and internal departments to ensure timely issue resolution and process improvements.
Support the development and maintenance of compliance policies, procedures, and internal controls.
Assist with regulatory inquiries, internal reviews, and audits by FINRA/SEC as needed.
Stay up to date on changes in regulatory requirements and industry best practices.
Education & Experience The ideal candidate would possess an intermediate level of experience, typically around 7 or more years, with compliance supervision, external audit, or a related field within the financial services industry.
Certificates & Licenses Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, Series 63, and Series 65 or Series 66 licenses are required. Valid U.S. driver’s license is required.
Preferred Skills Experience with custodians such as
National Financial
and
Pershing
platforms is required. Candidates must also have demonstrated experience across both operational and compliance functions within an
independent broker-dealer
and SEC-registered
RIA
environment.
A commitment to travel 25-50% is required for this role.
Compensation: $75,000-$100,000. 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.
Seniority level Mid-Senior level
Employment type Full-time
Job function Legal
Referrals increase your chances of interviewing at Cambridge Investment Research, Inc. by 2x
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Compliance Analyst
role at
Cambridge Investment Research, Inc.
2 days ago Be among the first 25 applicants
Join to apply for the
Compliance Analyst
role at
Cambridge Investment Research, Inc.
Overview Job Summary:
Cantella is seeking an experienced
Compliance Analyst
to play a key role in maintaining and strengthening our
regulatory and operational oversight . This position is responsible for conducting regular branch audits, providing
supervisory compliance support , and serving as a trusted resource for our financial advisors. The ideal candidate brings deep knowledge of independent broker-dealer operations, with specific expertise in National Financial Fidelity and Pershing platforms, along with strong product knowledge.
As an ambassador of advisor relationships, the Compliance Analyst will foster trust and collaboration while ensuring adherence to regulatory standards. This role requires travel to branch locations, as well as consistent presence at our
Malden, MA , home office at least two days per week. Success in this role demands exceptional attention to detail, clear communication, and the ability to work both independently and as part of a team in a fast-paced, regulatory-driven environment.
Essential Duties
Conduct frequent on-site branch audits to ensure compliance with regulatory standards and firm policies. Branches are heavily east coast based, but have do have branches across the US.
Identify audit findings, recommend corrective actions, and follow up on remediation plans.
Serve day-to-day supervision responsibilities as well as audit responsibilities
Email review
Trade review
New account approvals - including variable annuity approvals.
Work with financial advisors to troubleshoot compliance issues should they arise
Collaborate with branches and internal departments to ensure timely issue resolution and process improvements.
Support the development and maintenance of compliance policies, procedures, and internal controls.
Assist with regulatory inquiries, internal reviews, and audits by FINRA/SEC as needed.
Stay up to date on changes in regulatory requirements and industry best practices.
Education & Experience The ideal candidate would possess an intermediate level of experience, typically around 7 or more years, with compliance supervision, external audit, or a related field within the financial services industry.
Certificates & Licenses Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, Series 63, and Series 65 or Series 66 licenses are required. Valid U.S. driver’s license is required.
Preferred Skills Experience with custodians such as
National Financial
and
Pershing
platforms is required. Candidates must also have demonstrated experience across both operational and compliance functions within an
independent broker-dealer
and SEC-registered
RIA
environment.
A commitment to travel 25-50% is required for this role.
Compensation: $75,000-$100,000. 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.
Seniority level Mid-Senior level
Employment type Full-time
Job function Legal
Referrals increase your chances of interviewing at Cambridge Investment Research, Inc. by 2x
Sign in to set job alerts for “Compliance Analyst” roles. Boston, MA $70,000.00-$75,000.00 3 weeks ago
Boston, MA $75,000.00-$85,000.00 2 weeks ago
Boston, MA $84,000.00-$126,000.00 2 weeks ago
Boston, MA $76,000.00-$95,000.00 3 days ago
Boston, MA $125,000.00-$155,000.00 3 weeks ago
Boston, MA $71,900.00-$71,900.00 2 days ago
Boston, MA $62,400.00-$90,750.40 1 day ago
Boston, MA $70,632.76-$117,721.27 1 month ago
Boston, MA $120,000.00-$140,000.00 2 weeks ago
Compliance Manager (or Paralegal) - Capital Markets Boston, MA $140,000.00-$200,000.00 1 day ago
Boston, MA $90,225.00-$162,405.00 1 day ago
Boston, MA $116,600.00-$233,300.00 3 days ago
Senior Compliance Analyst (Healthcare Compliance) Compliance Manager, Investment Management Boston, MA $125,000.00-$150,000.00 1 day ago
Compliance Internal Audit Senior Associate Marlborough, MA $69,200.00-$86,500.00 1 month ago
Internal Audit/SOX Compliance Analyst II Westwood, MA $84,000.00-$120,000.00 3 weeks ago
Cybersecurity Governance, Risk & Compliance Specialist Regulatory Risk & Compliance - Pharma/Med Devices, Manager Boston, MA $99,000.00-$232,000.00 2 weeks ago
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr