Job SummaryCambridge Investment Group, Inc. is seeking a Senior Examiner to support the daily functions and activities of the Compliance department. Working under the direction of Compliance Leadership, this role leads strategic initiatives, conducts on-site audits of financial professional offices, strengthens department processes, supports team development, and helps ensure adherence to internal policies and industry regulations.
Key Deliverables and Responsibilities- Lead the planning, development, and implementation of strategic Compliance department initiatives.
- Develop and implement streamlined procedures that improve processes, and train team members on updated procedures as needed.
- Conduct on-site and virtual audits of financial professional offices, including planning audit routes, scheduling visits, and arranging flights, hotels, and rental cars.
- Monitor adherence to internal policies, procedures, rules, and regulations; communicate regulatory updates to financial professionals; and alert management to potential violations.
- Support team members by facilitating training and providing guidance on escalated audit deficiencies through resolution.
- Deliver responsive Compliance support to management, company associates, and financial professionals, tracking open issues and following up consistently to ensure resolution.
- Communicate pre- and post-audit results to management and the financial professional or branch through timely, formal written reports, and follow up to confirm that concerns are corrected within the specified timeframe.
- Maintain current knowledge of compliance regulations and industry topics, and complete continuing education required for FINRA licenses.
What We Are Looking For- FINRA Series 7, Series 24, Series 63, and either Series 65 or Series 66 licenses.
- Four or more years of related experience, education, and/or training.
- Strong knowledge of financial services compliance, regulatory requirements, and audit practices.
- Excellent analytical and critical-thinking skills, with the ability to identify risk, assess deficiencies, and recommend practical solutions.
- Clear, professional written and verbal communication skills, including the ability to explain regulatory requirements and document audit findings.
- Strong organization, planning, and time-management skills, with the ability to manage multiple audits, deadlines, travel arrangements, and follow-up activities.
- Sound judgment, attention to detail, and discretion when handling sensitive or confidential information.
- Ability to work independently, make informed decisions, and escalate potential compliance concerns appropriately.
- Effective collaboration, coaching, and facilitation skills to support team development and guide others through issue resolution.
- A process-improvement mindset and the ability to develop and implement efficient procedures.
- Flexibility and willingness to travel to financial professional offices as required.
- Valid driver's license.
You can find more details about our comprehensive benefits package here.
