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    Regulatory Affairs Senior Specialist - Phoenix, United States - Cambridge Investment Research (USA)

    Cambridge Investment Research (USA)
    Cambridge Investment Research (USA) Phoenix, United States

    1 week ago

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    Description

    Overview:

    Cambridge is looking for someone with critical thinking skills and an interest in research and collaboration with others to join our Legal and Risk department as a full time Regulatory Affairs Senior Specialist working from our Phoenix, Arizona office. This position involves assisting with information gathering, documentation and commmunication with financial industry regulators when an inquiry is received. This person must be very organized, have strong relationship building skills and written and verbal communication skills as they represent the company in their communications with regulators and other stakeholders.

    Essential Duties:
    • Coordinate, research and respond to regulatory inquiries.
    • Maintain documentation for regulatory inquiries.
    • Provide customer service and supply information as needed at the request of management, company associates, financial professionals, and regulators.
    • Maintain working knowledge of industry compliance, key industry topics, procedures, issues and concerns.
    • Manage sensitive and confidential matters through planning and protecting securing of information, data and files.
    Education & Experience:

    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-$57,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidates qualifications, the Companys 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
    • Eleven paid holidays

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

    #LI-SK1

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