Cambridge Investment Research, Inc., a national leader as a financial solutions firm, has an opening in the Compliance Department as a full time External Audit Examiner in our Norcross, GA office.
The Examiner works under the direction of the Supervisor, External Audit and performs on-site audits of advisor offices.
Essential Duties and Responsibilities:
· Perform on-site audits of advisor offices as directed, plan audit routes, schedule audits, and make appropriate travel arrangements including flights, hotel, and car rental
· Ensure adherence to internal policies and procedures, as well as including informing advisors of new rules and regulations, and inform management of potential violations
· Provide customer service related to Compliance 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
· Communicate pre and post audit results to Management and the advisor or branch via timely formal written reports and follow up to ensure areas of concern are corrected in a specified period of time
· Maintain working knowledge of compliance regulations, industry topics, and continuing education for FINRA licenses
Requires minimum of a bachelor’s degree from four-year college or university; or three or more years related experience and/or training; or equivalent combination of education and experience.
Certificates and Licenses:
Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE), Series 7, Series 24, and Series 63 licenses are required. Valid U.S. Class C driver’s license is required.