Investments Due Diligence Analyst Job at Cambridge Investment Research, Inc.
Overview:
At Cambridge, our purpose is to make a difference in the lives of our financial professionals, their investing clients, and our associates. Our values of integrity, commitment, flexibility, and kindness continue to guide us in the decisions we make together every day. For over 40 years we’ve delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.
A national leader as a financial solutions firm, Cambridge’s commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity. Cambridge has been honored 11 times by our associates as a Top Workplace in Iowa1 and 13 times as Broker-dealer of the Year by our financial professionals through Investment Advisor magazine2. We are recognized among the leading firms in the financial advice industry as we serve over 3,700 independent financial professionals and hundreds of thousands of their investing clients across the country.
1The Top Workplace in Iowa, 2020 – 2011, recognition is determined by associate feedback through an anonymous survey conducted by Energage, an independent research company.
Compensation: $70,000-$80,000. 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.
Cambridge Investment Research Inc., one of the nation’s top independent financial solutions firm, is actively looking for a person who has a passion for investment research to join the Due Diligence Team as a full-time analyst.
At Cambridge, our purpose is to make a difference in the lives of our financial professionals, their investing clients, and our associates. Our values of integrity, commitment, flexibility, and kindness continue to guide us in the decisions we make together every day. For over 40 years we’ve delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.
A national leader as a financial solutions firm, Cambridge’s commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity. Cambridge has been honored 11 times by our associates as a Top Workplace in Iowa1 and 13 times as Broker-dealer of the Year by our financial professionals through Investment Advisor magazine2. We are recognized among the leading firms in the financial advice industry as we serve over 3,700 independent financial professionals and hundreds of thousands of their investing clients across the country.
1The Top Workplace in Iowa, 2020 – 2011, recognition is determined by associate feedback through an anonymous survey conducted by Energage, an independent research company.
2Investment Advisor magazine, 2020, 2019, 2018, 2017, 2016, 2015, 2014, 2013, 2012, 2010, 2008, 2007, Division IV; 2003, Division III.
Essential Duties:
- Analyze company business processes and use of third party service providers on a rotating schedule and analyzing products utilized by the firm; interacting with other departments to gather due diligence information, documenting and reporting on findings including specific concerns and recommendations for continued development of operational due diligence procedures.
- Coordinate, prepare, and actively participate in due diligence meetings with senior management to discuss potential and existing products and strategists and evaluate their processes, policies, procedures and controls
- Provide ‘best-in-class’ customer service related to Due Diligence and supply information as needed at request of management, company associates, and financial professionals and track open issues with consistent follow-up to ensure issues are resolved
- Maintain comprehensive knowledge by monitoring SEC filings and other reports from public programs regarding due diligence. Stay up to date on continuing education for FINRA licenses.
Four or more years of related experience, education and/or training
Certificates & Licenses:
This job requires obtaining FINRA Series 7, 24, and 66 licenses within the first 12 months in order to complete job responsibilities. Cambridge will provide financial and educational support towards obtaining required license(s) including paid study time, training courses, study materials and online resources.
Compensation: $70,000-$80,000. 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
- Nine paid holidays
You can find more details about our comprehensive benefits package here.
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