Client Resolution Analyst

Cambridge Investment Research, Inc. is a growth-focused independent broker-dealer dedicated to supporting financial advisors. The Client Resolution Analyst plays a crucial role in managing and resolving complex client matters, ensuring compliance with industry regulations and enhancing the overall client experience through effective communication and process improvement.

Responsibilities

• Document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the process
• Draft written correspondence outlining facts and findings
• Communicate information related to regulatory disclosures to appropriate parties
• Ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
• Assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requests
• Provide customer service and supply information as needed at request of management, company associates, and registered representatives
• Maintain industry knowledge including continuing education for FINRA licenses (Series 7), working knowledge of industry compliance, key industry topics, procedures, issues and concerns
• Manage sensitive and confidential matters though planning and protecting security of information, data and files
• Utilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficient

Skills

• Detail-oriented professional
• Solid understanding of industry regulations
• Adherence to compliance standards
• Customer-focused approach
• Strong written and verbal communication skills
• Sound judgment when handling sensitive and confidential information
• Proactive mindset for identifying process improvements
• Ability to document receipt of complex customer complaints, Arbitrations and Litigations, and monitor the process
• Ability to draft written correspondence outlining facts and findings
• Ability to communicate information related to regulatory disclosures to appropriate parties
• Ability to ensure external and internal policies and procedures are adhered to by financial professionals and Cambridge staff
• Ability to assist Regulatory Affairs in researching FINRA inquiries and maintain tracking systems and logs, documentation all information requests
• Ability to provide customer service and supply information as needed at request of management, company associates, and registered representatives
• Maintain industry knowledge including continuing education for FINRA licenses (Series 7)
• Working knowledge of industry compliance, key industry topics, procedures, issues and concerns
• Ability to manage sensitive and confidential matters through planning and protecting security of information, data and files
• Utilize Continuous Improvement tools to locate procedural gaps and take the lead on making processes more efficient
• Obtain the FINRA Securities Industry Essentials (SIE) within 12 months

Benefits

• Paid time off
• Paid holidays and floating holidays
• Medical, dental, and vision coverage
• Short- and long-term disability
• Company-paid life insurance
• Volunteer time off
• Wellness incentives

Company Overview