Client Resolution Analyst

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.ResponsibilitiesDocument receipt of complex customer complaints, Arbitrations and Litigations, and monitor the processDraft written correspondence outlining facts and findingsCommunicate information related to regulatory disclosures to appropriate partiesEnsure external and internal policies and procedures are adhered to by financial professionals and Cambridge staffAssist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requestsProvide customer service and supply information as needed at request of management, company associates, and registered representativesMaintain industry knowledge including continuing education for FINRA licenses (Series 7), working knowledge of industry compliance, key industry topics, procedures, issues and concernsManage sensitive and confidential matters though planning and protecting security of information, data and filesUtilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficientSkillsDetail-oriented professionalSolid understanding of industry regulationsAdherence to compliance standardsCustomer-focused approachStrong written and verbal communication skillsSound judgment when handling sensitive and confidential informationProactive mindset for identifying process improvementsAbility to document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the processAbility to draft written correspondence outlining facts and findingsAbility to communicate information related to regulatory disclosures to appropriate partiesAbility to ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staffAbility to assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requestsAbility to provide customer service and supply information as needed at request of management, company associates, and registered representativesMaintain industry knowledge including continuing education for FINRA licenses (Series 7)Working knowledge of industry compliance, key industry topics, procedures, issues and concernsAbility to manage sensitive and confidential matters through planning and protecting security of information, data and filesUtilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficientObtain the FINRA Securities Industry Essentials (SIE) within 12 monthsBenefitsPaid time offPaid holidays and floating holidaysMedical, dental, and vision coverageShort- and long-term disabilityCompany-paid life insuranceVolunteer time offWellness incentivesCompany OverviewDo 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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