Compliance Communication Analyst
Cambridge Investment Research, Inc. is a growth-focused independent broker-dealer committed to supporting financial advisors. The Compliance Communication Analyst role involves monitoring and managing electronic communications to ensure compliance with industry regulations while providing technology support and education to financial professionals.
Responsibilities
- Run, generate, and analyze reports across multiple systems to identify trends, risks, and potential compliance concerns related to electronic communications
- Provide technology support and troubleshooting for social media provisioning, encrypted email accounts, and supervisory email review systems, including new user access setup
- Monitor, research, and track instances of off-channel communications, document findings, and escalate issues to management as appropriate
- Educate financial professionals on confidentiality requirements and best practices for transmitting client information through approved communication channels
- Ensure adherence to internal policies, external regulations, and supervisory procedures for both internal associates and external financial professionals
- Organize and maintain departmental resources, including spreadsheets, databases, reports, and standard operating procedures
- Collaborate with internal partners to identify process improvement opportunities, promote best practices, and enhance operational efficiency
- Serve as a knowledge resource and mentor within the department by providing training, coaching, answering questions, and supporting communications training tracking
Skills
- Detail-oriented and analytical professional
- Experience in compliance, supervision, or operational support within the financial services industry
- Understanding of electronic communications oversight
- Understanding of confidentiality requirements
- Understanding of regulatory expectations
- Comfortable analyzing data and reports to identify trends and potential risks
- Customer-focused
- Technologically proficient
- Ability to clearly educate and support financial professionals
- Demonstrating sound judgment and professionalism
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