Overview
Cambridge is looking for someone with experience collecting information and data requested by financial industry regulators such as FINRA and the SEC.
This person will need to have strong 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 Associate Director working from our home office in Fairfield, Iowa.
This position involves 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
- Review and analyze regulatory inquiries to strategically plan response approaches and identify potential areas of risk.
- Consult with internal and external parties to obtain documentation and information necessary to respond to regulatory inquiries.
- Communicate professionally with internal and external parties regarding regulatory matters.
- Review and analyze information and documentation to determine responsiveness.
- Draft formal and professional written responses that accurately and persuasively communicate responses to regulatory inquiries.
- Provide customer service related to Regulatory Affairs and supply information as needed at request of management, company associates and financial professionals.
- Maintain working knowledge of industry compliance, key industry topics, procedures, issues and concerns.
- Manage sensitive and confidential matters through planning and protecting of information, data and files.
Education & Experience
Four or more years of related experience, education and / or training
Certificates & Licenses
Financial Industry Regulatory Authority (FINRA) Series 99 license is required. Other licenses or certificates may be required as dictated by department in the future.
Compensation : $76,000 - $86,000. 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
- Eleven paid holidays
You can find more details about our comprehensive benefits package here.
LI-SK1
Regulatory Affairs Associate Director (Financial Industry)
This person will need to have strong 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 Associate Director working from our home office in Fairfield, Iowa. Provide customer service related to Regu...
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