Due Diligence Analyst
Cambridge Investment Research, Inc., a national leader as a securities financial solutions firm, has an opening in the Marketing Department for a full time Due Diligence Analyst. The Analyst works under the direction of the Due Diligence Leadership and analyzes and consults on various aspects of the Investments and Insurance department.
As one of the nation’s leading independent broker-dealers, Cambridge Investment Research Inc. continues to seek qualified and talented professionals. The combination of long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity.
Essential Duties and Responsibilities:
* 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 rep-advisors 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, continuing education for FINRA licenses (Series 7)
Bachelor’s degree from four-year college or university; or one to two years related experience and/or training; or equivalent combination of education and experience.
Certificates and Licenses:
Financial Industry Regulatory Authority (FINRA) Series 7, 24, and 66 are required.
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