Cambridge Investment Research, Inc.
Associate Director of Operations
Cambridge Investment Research, Inc., Malden Highlands, Massachusetts, United States
Overview
Job Summary:
Cantella is seeking an experienced
Associate Director of Operations
to join our dynamic financial services team in our Malden MA office. This leadership role is ideal for a candidate with a strong background in operations management within the independent broker/dealer and SEC registered RIA environment. The ideal candidate will have deep platform expertise with National Financial/Fidelity and Pershing and licensing credentials, and a commitment to delivering operational excellence and superior service. Essential Duties
Oversee daily operational functions, ensuring efficiency, compliance, and high service standards. Manage and optimize workflows involving NetX and Wealthscape platforms, as well as Cambridge’s internal CLIC platform. Execute and support trading functions using Envestnet or Folio, ensuring timely and accurate processing. Analyze operational data to proactively identify trends, improve processes, and support business growth. Collaborate cross-functionally with advisors, compliance, and client service teams. Provide high-touch client service support, ensuring resolution of complex issues while maintaining a client-first mindset. Assist in the development and implementation of operational policies, procedures, and training programs. Support paraplanning activities when needed and provide operational insight to advisory processes. Work with advisors to utilize eMoney, Albridge/Wave, and Morningstar Advisor workstation platforms for performance reporting, investment analysis and financial planning (preferred). Maintain compliance with regulatory requirements and licensing standards. 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
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. Experience with Envestnet or Folio trading systems (required). Superior customer service skills; prior experience in a financial advisor-facing operations service role (required). Must be able to go to Malden MA office location 2x per week. Strong analytical mindset with a problem-solving orientation. Paraplanning experience, familiarity with Morningstar, e-money and/or Albridge is a plus. Compensation & Benefits
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.
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Job Summary:
Cantella is seeking an experienced
Associate Director of Operations
to join our dynamic financial services team in our Malden MA office. This leadership role is ideal for a candidate with a strong background in operations management within the independent broker/dealer and SEC registered RIA environment. The ideal candidate will have deep platform expertise with National Financial/Fidelity and Pershing and licensing credentials, and a commitment to delivering operational excellence and superior service. Essential Duties
Oversee daily operational functions, ensuring efficiency, compliance, and high service standards. Manage and optimize workflows involving NetX and Wealthscape platforms, as well as Cambridge’s internal CLIC platform. Execute and support trading functions using Envestnet or Folio, ensuring timely and accurate processing. Analyze operational data to proactively identify trends, improve processes, and support business growth. Collaborate cross-functionally with advisors, compliance, and client service teams. Provide high-touch client service support, ensuring resolution of complex issues while maintaining a client-first mindset. Assist in the development and implementation of operational policies, procedures, and training programs. Support paraplanning activities when needed and provide operational insight to advisory processes. Work with advisors to utilize eMoney, Albridge/Wave, and Morningstar Advisor workstation platforms for performance reporting, investment analysis and financial planning (preferred). Maintain compliance with regulatory requirements and licensing standards. 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
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. Experience with Envestnet or Folio trading systems (required). Superior customer service skills; prior experience in a financial advisor-facing operations service role (required). Must be able to go to Malden MA office location 2x per week. Strong analytical mindset with a problem-solving orientation. Paraplanning experience, familiarity with Morningstar, e-money and/or Albridge is a plus. Compensation & Benefits
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.
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