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Cambridge Investment Research, Inc. Risk Assessment Analyst 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 Analyst. The Risk Assessment Analyst 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 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 Analyst works under the direction of the Senior Director, Risk Assessment and analyzes various aspects of the Risk Assessment function.

  • Perform risk testing as required in the Annual Testing Calendar, including reviews of company

  • 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 and drafting result notices in review report

  • Maintain 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

  • Review, evaluate for relevance, and summarize industry disciplinary actions on a quarterly basis.

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 license is required.

Job ID: 2020-1164

External Company Name: Cambridge Investment Research, Inc.

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

Telecommute: No

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