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Cambridge Investment Research, Inc. Risk Assessment Consultant 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 providing excellent customer service to join the Legal and Risk Department as a full time Risk Assessment Consultant. The Risk Assessment Consultant works under the direction of the Legal and Risk 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 nine times by our associates as a ‘Top Workplace in Iowa’, and 12 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 3,500 independent financial professionals and hundreds of thousands of their investing clients across the country.

Job Summary:

The Analyst works under the direction of the Senior Director, Risk Assessment and performs various internal tests and analyses under the Risk Assessment function.

  • Provide customer service related to Risk Assessment and supply information as needed at request of management and company associates

  • Maintain communication with department regarding status of reviews in progress, scheduling formal review meetings, presenting review findings

  • Maintain procedures and review departmental procedures for changes, regulatory requirements, and efficiency

  • Develop working industry knowledge of key industry topics and overall familiarity with relevant internal resources

  • Maintain accurate data within the quarterly risk scorecard by accumulating relevant data and populating the risk scorecard

  • Assist in the design of new tests as the need arises

Associate’s degree or equivalent from two-year college or technical school; or six months to one year related experience and/or training; or equivalent combination of education and experience.

Financial Industry Regulatory Authority (FINRA) Series 7 license is required.

Job ID: 2020-1165

External Company Name: Cambridge Investment Research, Inc.

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

Telecommute: No

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