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Regulatory Affairs Director
2 months ago
About the Role:
Cambridge Investment Research (USA) is seeking a highly skilled Regulatory Affairs Associate Director to join our Legal and Risk department in Phoenix, Arizona. As a key member of our team, you will be responsible for collecting and analyzing information and data requested by financial industry regulators, such as FINRA and the SEC.
This role requires strong critical thinking skills, research expertise, and excellent collaboration and communication skills. You will work closely with internal and external parties to obtain documentation and information necessary to respond to regulatory inquiries.
Key Responsibilities:
- Review and analyze regulatory inquiries to develop strategic response approaches and identify potential areas of risk.
- Consult with internal and external parties to obtain documentation and information necessary to respond to regulatory inquiries.
- Communicate professionally with internal and external parties regarding regulatory matters.
- Draft formal and professional written responses that accurately and persuasively communicate responses to regulatory inquiries.
- Provide customer service related to Regulatory Affairs 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 through planning and protecting of information, data and files.
Requirements:
- Four or more years of related experience, education and/or training.
- Financial Industry Regulatory Authority (FINRA) Series 99 license is required.
What We Offer:
- Competitive compensation package, including a salary range of $76,000 - $86,000.
- Premium benefit package, including medical, vision, dental, life and long-term disability insurance.
- Vacation/sick time.
- 401K retirement plan with company matching program.
- Eleven paid holidays.
Why Cambridge?
Cambridge Investment Research (USA) is a leading financial services company that values work-life balance and promotes individual success. We offer a comprehensive benefits package and a dynamic work environment that encourages collaboration and growth.
