- Consult with financial professionals regarding all aspects of FINRA, state and investment advisory registrations
- Update financial professional information on external and internal systems
- Develop and maintain positive relationships with financial professionals by providing registration process trainings during transition, excellent customer service throughout their tenure with the firm, and exemplifying Cambridge core values if/when financial professionals part ways with the company
- Process Annual Registration Renewal for all financial professionals and registered home office staff through external and internal systems
- Run reports as requested and analyze data from regulator systems and internal systems
- Manage regulatory continuing education requirements and reminders
- Create and utilize action plans to resolve any issues or concerns related to registration and/or licensing processes
- Partner with other departments and external sources when necessary to address questions or concerns and ensure issues are resolved
- Communicate effectively with both internal and external customers and supply information as needed at request of management, company associates, and financial professionals
- Collaborate internally to seek and promote opportunities for improving processes, delivering best practices and enhancing efficiencies
- Participate in various committees, focus groups, and task forces with other internal and/or external customers to create or update information such as company software systems, forms, policies, and procedures
- Serve as knowledge leader and mentor within the department including, but not limited to training others, coaching, and answering questions
- Maintain working industry knowledge of key topics and policies/procedures regarding registration requirements
- 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
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Registration and Licensing Consultant - Fairfield, United States - Cambridge Investment Research (USA)
Description
OverviewWe are looking for a helpful and collaborative Registration and Licensing Consultant to join Compliance Department working from our Fairfield, Iowa office.
The Consultant will assist our financial professionals and home office associates with updates on systems indicating whether licenses are up to date or needed in specific states. The Consultant will also provide customer service and answer questions about the maintenance of licenses and assist with reporting.
If you're interested working in a collaborative and supportive environment and building great relationships, join the Registration and Licensing team as a Consultant.
Essential Duties
Two or more years of related experience, education and/or training.
Certificates & Licenses
No licenses or certificates are required for this position.
Compensation: $45,000-$55,000. 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.
