Head of Investment Research - Phoenix, United States - Cambridge Investment Research (USA)

Description

Overview

We are looking for someone passionate about leading the firm's efforts on research, due diligence and analysis, investment product services, and insurance offerings. This person will lead the development, creation, and oversee our current and future offerings as part of our operational and risk management approach.

Cambridge Investment Research, Inc. is an internally controlled financial solutions firm dedicated to serving independent financial advisors and their clients. We are a $1.6B revenue company with $162B assets under management.

*Total revenue, AUA, home office associates, and number of advisors are as of 12/31/23.
1AUA reflects fee based and independent RIA assets plus commission assets.

Essential Duties

• Lead and manage all strategic aspects of the Investments and Insurance department that encompasses Due Diligence Analysis, Insurance Center and Investment Product Center including developing strategic goals, leading department initiatives, managing the budget, and overseeing all departmental outcomes
• Develop, implement, and grow an extensive research offering across various product lines including model management.
• Manage and oversee the Cambridge home office investment models, investment communications, fund Focus List, overall research offering and communicate with Financial Professionals regarding products
• Oversee all aspects of the due diligence process, which include risk analysis, researching both new and existing products and strategists, conducting detailed business process assessments, and documenting and reporting findings to appropriate stakeholders
• Participate in and lead product approval meetings with senior leadership where processes, policies, procedures, and controls are evaluated
• Manage third-party product sponsor company relationships and drive enhanced partnership opportunities for the firmLead all insurance relationships including conducting necessary due-diligence on potential insurance partners, making recommendations and optimizing partnership efforts including negotiating firm revenues
• Coordinate, review and execute the selling agreements with all product sponsors
• Analyze, on a rotating basis, the third-party money managers, products and services utilized by the firm.
• Partner with various departments across the firm to provide recommendations on regulatory, operational, and due diligence standards and guidelines.
• Generate revenue and manage expenditures in line with the department budget
• Demonstrate exceptional leadership and communication skills to develop and manage the Investments and Insurance team by providing vision to ensure the department is centered around business goals and departmental effective metrics

Education & Experience

Master's degree from an accredited college or university; or ten or more years related experience and/or training; or equivalent combination of education and experience.

Certificates & Licenses

Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, and Series 66 are required.

Charter Financial Analyst (CFA) certification or similar designation is preferred.

Compensation: $200,000-$265,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidate's qualifications, the Company's operational needs, and other considerations permitted by law. The actual pay offered to a specific candidate may vary above or below the stated range.

Benefits: Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.

• Premium benefit package including medical, vision, dental, life and long-term disability insurance
• Vacation/sick time
• 401K retirement plan with company matching program
• Profit Sharing Plan
• Eleven paid holidays

You can find more details about our comprehensive benefits package here.

This is an in-person position located in our Phoenix, Arizona office. Our Investments and Insurance team is growing in this office which is located in the Midtown Business District just north of Downtown.