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Cambridge Investment Research, Inc. Compliance Resource Center Trainer in Fairfield, Iowa

Cambridge Investment Research Inc., one of the nation’s top independent broker-dealers, is actively looking for a person who has a passion for assisting and coordinating with financial professionals to join the Compliance Department as a full time Resource Center Trainer. The Trainer works under the direction of the Compliance Resource Center leadership.

At Cambridge, our purpose is to make a difference in the lives of our financial professionals, their investing clients, and our associates. Our values of integrity, commitment, flexibility, and kindness continue to guide us in the decisions we make together every day. For 39 years we’ve delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.

A national leader as a financial solutions firm, Cambridge’s commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity. Cambridge has been honored 10 times by our associates as a ‘Top Workplace in Iowa’, and 13 times as ‘Broker-dealer of the Year’ by our financial professionals through Investment Advisor magazine. We are recognized among the leading firms in the financial advice industry as we serve over 3,600 independent financial professionals and hundreds of thousands of their investing clients across the country.

Job Summary:

The Compliance Resource Center Trainer works under the direction of the Compliance Resource Center Leadership and specializes in various aspects of the department function.

  • Design, implement and deliver Compliance training programs including facilitating classroom and webinar training to groups of home office associates and/or financial professionals, administering surveys and creating communications to varying audiences.

  • Consult with management, Compliance team members and other departments regarding updates to trainings and web content.

  • Construct and maintain SharePoint framework for communicating internal Compliance policies and procedures, as well as develop external content for posting on Cambridge website to financial professionals and employees.

  • Maintain accurate information in the Learning Management System (LMS) through timely entry of training activity.

  • Provide 'best-in-class' customer service related to Compliance, serve as the point person for educational opportunities, track open issues with consistent follow-up to ensure issues are resolved, and supply information as needed at request of management, company associates, and financial professionals.

  • Maintain comprehensive knowledge by analyzing key industry topics, continuing education for FINRA licenses, understanding firm policies and procedures, and educating team members when necessary.

Bachelor’s degree from four-year college or university; or one to two years related experience and/or training; or equivalent combination of education and experience.

Financial Industry Regulatory Authority (FINRA) Series 7 and 24 are required within 12 months of hire.

Job ID: 2020-1295

External Company Name: Cambridge Investment Research, Inc.

External Company URL: https://www.joincambridge.com/home/

Telecommute: No

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