As an Account Review Specialist, you will play an important role in reviewing account documentation, supporting compliance processes, and helping ensure adherence to internal and external regulatory requirements.
This position offers an excellent opportunity for a detail-oriented professional who enjoys problem-solving, collaborating with others, and contributing to a high-performing team environment.
What You'll Do
Communicate policies and procedures to advisors and associates while helping maintain regulatory compliance.
Identify potential policy violations and escalate concerns to leadership when appropriate.
Respond to phone, email, voicemail, and occasional in-person inquiries in a professional and timely manner.
Research industry rules, regulations, and compliance requirements.
Monitor and support registered investment advisory (RIA) communications and documentation.
Develop and maintain knowledge of industry compliance standards, regulations, and best practices.
Handle sensitive and confidential information with discretion and professionalism.
Participate in departmental projects and cross-training opportunities as needed.
What We Are Looking For
Ability to interpret policies, procedures, and business documentation.
Ability to manage confidential information responsibly.
Strong attention to detail and organizational skills.
Excellent written and verbal communication skills.
Effective problem-solving and analytical skills.
Works well in a collaborative team environment
Preferred Qualifications
Experience in financial services, operations, compliance, or account processing.
Familiarity with investment advisory or brokerage industry practices.
Experience working in a fast-paced, service-oriented environment.
Location: Fairfield, IA or Phoenix, AZ (hybrid attendance model)
Why Cambridge?
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.
Cambridge Overview:
Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country. Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.
Skills Required
- Ability to interpret policies, procedures, and business documentation.
- Ability to manage confidential information responsibly.
- Strong attention to detail and organizational skills.
- Excellent written and verbal communication skills.
- Effective problem-solving and analytical skills.
- Works well in a collaborative team environment.
- Experience in financial services, operations, compliance, or account processing.
- Familiarity with investment advisory or brokerage industry practices.
- Experience working in a fast-paced, service-oriented environment.
What We Do
Do you control your journey? Are you independent? At Cambridge, we are business innovators, financial planners, wealth advisors, business builders, next generation, retirement planners, visionaries, investment advisors, succession planners, entrepreneurs, and business owners. We believe clients come first, and we all need the freedom to customize our businesses, our way, to best serve our clients. Visit joincambridge.com to learn more. We believe every journey is important. We are independent. We are Cambridge. Visit youcontrolthejourney.com to see more about who we are, what we do, and why we do it. Securities offered through Cambridge Investment Research, Inc., a broker-dealer, Member FINRA/SIPC and Investment Advisory Services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Both are wholly-owned subsidiaries of Cambridge Investment Group, Inc. Cambridge and its predecessor broker-dealer was founded in 1981.
