Compliance Communication Analyst

Cambridge Investment Research, Inc. is a growth-focused independent broker-dealer committed to supporting financial advisors. The Compliance Communication Analyst role involves monitoring and managing electronic communications to ensure compliance with industry regulations while providing technology support and education to financial professionals.ResponsibilitiesRun, generate, and analyze reports across multiple systems to identify trends, risks, and potential compliance concerns related to electronic communicationsProvide technology support and troubleshooting for social media provisioning, encrypted email accounts, and supervisory email review systems, including new user access setupMonitor, research, and track instances of off-channel communications, document findings, and escalate issues to management as appropriateEducate financial professionals on confidentiality requirements and best practices for transmitting client information through approved communication channelsEnsure adherence to internal policies, external regulations, and supervisory procedures for both internal associates and external financial professionalsOrganize and maintain departmental resources, including spreadsheets, databases, reports, and standard operating proceduresCollaborate with internal partners to identify process improvement opportunities, promote best practices, and enhance operational efficiencyServe as a knowledge resource and mentor within the department by providing training, coaching, answering questions, and supporting communications training trackingSkillsDetail-oriented and analytical professionalExperience in compliance, supervision, or operational support within the financial services industryUnderstanding of electronic communications oversightUnderstanding of confidentiality requirementsUnderstanding of regulatory expectationsComfortable analyzing data and reports to identify trends and potential risksCustomer-focusedTechnologically proficientAbility to clearly educate and support financial professionalsDemonstrating sound judgment and professionalismBenefitsPaid 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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