Cambridge Investment Research, Inc. is a growth-focused independent broker-dealer dedicated to supporting financial advisors. The Client Resolution Analyst plays a crucial role in managing and resolving complex client matters, ensuring compliance with industry regulations and enhancing the overall client experience through effective communication and process improvement.
Responsibilities
- Document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the process
- Draft written correspondence outlining facts and findings
- Communicate information related to regulatory disclosures to appropriate parties
- Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
- Assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requests
- Provide customer service and supply information as needed at request of management, company associates, and registered representatives
- Maintain industry knowledge including continuing education for FINRA licenses (Series 7), 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
- Utilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficient
Skills
- Detail-oriented professional
- Solid understanding of industry regulations
- Adherence to compliance standards
- Customer-focused approach
- Strong written and verbal communication skills
- Sound judgment when handling sensitive and confidential information
- Proactive mindset for identifying process improvements
- Ability to document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the process
- Ability to draft written correspondence outlining facts and findings
- Ability to communicate information related to regulatory disclosures to appropriate parties
- Ability to ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
- Ability to assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requests
- Ability to provide customer service and supply information as needed at request of management, company associates, and registered representatives
- Maintain industry knowledge including continuing education for FINRA licenses (Series 7)
- Working knowledge of industry compliance, key industry topics, procedures, issues and concerns
- Ability to manage sensitive and confidential matters through planning and protecting security of information, data and files
- Utilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficient
- Obtain the FINRA Securities Industry Essentials (SIE) within 12 months
Benefits
- Paid time off
- Paid holidays and floating holidays
- Medical, dental, and vision coverage
- Short- and long-term disability
- Company-paid life insurance
- Volunteer time off
- Wellness incentives
Company Overview
Do you control your journey? Are you independent? At Cambridge, we are business innovators, financial planners, wealth advisors, business builders, next generation, retirement planners, visionaries, investment advisors, succession planners, entrepreneurs, and business owners. It was founded in 1981, and is headquartered in Fairfield, Iowa, USA, with a workforce of 501-1000 employees. Its website is http://www.joincambridge.com.
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