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Cambridge Investment Research, Inc. Surveillance Specialist 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 Surveillance Specialist. The Surveillance Specialist works under the direction of the Compliance 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 Specialist works under the direction of the Surveillance Management and coordinates aspects of the daily function in the department.

  • Fulfill supervisory and regulatory requirements including, but not limited to reviewing overall actions taken by Office of Supervisory Jurisdictions (OSJs) and financial professionals in the field, performing preliminary e-mail review, drafting personal and private authorization (407) letters, and facilitating/reviewing departmental compliance systems

  • Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff

  • Provide customer service related to Surveillance and supply information as needed at request of management, company associates, and financial professionals

  • Maintain working knowledge of industry compliance, key industry topics, procedures, issues and concerns

  • Manage sensitive and confidential matters though planning and protecting security of information, data and files

One year certificate from college or technical school; or three to six months related experience and/or training; or equivalent combination of education and experience.

Job ID: 2020-1220

External Company Name: Cambridge Investment Research, Inc.

External Company URL:

Telecommute: No