Overview About Us: Cambridge Investment Research Inc. is one of the nation’s top independent financial solutions firms. We are committed to fostering an inclusive and dynamic work environment where innovation, collaboration, and growth are encouraged. Our team is dedicated to driving success and creating a workplace where every employee feels valued and empowered. Job Summary: Are you passionate about navigating the intricate world of financial regulations and ensuring integrity in business practices? Join our dynamic compliance team as a Financial Compliance Analyst, where you'll be at the forefront of safeguarding our firm's adherence to regulatory standards. In this role, you will lead compliance activities related to outside business activities (OBA), private securities transactions (PST), political contributions, and more. This is your opportunity to apply your keen eye for detail, strong analytical skills, and deep understanding of financial regulations to ensure we stay ahead of industry requirements while contributing to a culture of transparency and accountability. Step into a role where every day brings the chance to make a tangible impact. You’ll play a vital part in helping us navigate the regulatory landscape, while contributing to a culture of ethics, trust, and continuous learning. Ready to safeguard the future of financial compliance? Apply today! Essential Duties Oversight of OBA and PST: Conduct meticulous reviews of outside business activities and private securities transactions, ensuring alignment with regulatory requirements and internal policies. Monitor Political Contributions and Sponsorships: Evaluate political contributions and sponsorship reimbursements to ensure compliance with firm guidelines and regulatory standards. Champion Compliance Education: Create, organize, and track compliance training programs, including annual meetings, continuing education, and off-channel communication trainings. Issue Tracking and Resolution: Proactively follow up on open compliance issues, ensuring they are resolved efficiently while keeping management informed. Policy Development and Updates: Collaborate on developing and updating compliance policies to mitigate conflicts of interest, ensuring they meet evolving regulatory requirements. Customer Service Support: Provide expert guidance on compliance-related matters, assisting management, company associates, and financial professionals with accurate and timely information. Regulatory Vigilance: Stay updated on the latest FINRA, SEC, and other regulatory body regulations to ensure the firm remains in full compliance. Ensure Policy Adherence: Monitor adherence to compliance procedures, flagging potential violations and supporting corrective actions as necessary. Education & Experience The ideal candidate would possess an intermediate level of experience, typically around 5-7 or more years, with the financial industry's compliance practices. Certificates & Licenses This job requires obtaining FINRA Securities Industry Essentials (SIE), Series 7 and Series 24 licenses. Compensation: $50,000-$70,000. 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. #LI-MM2