Cambridge Investment Research Inc., one of the nation’s top independent broker-dealers, is actively looking for a person who has a passion for financial analysis to join the Investments and Insurance Department for a full time Due Diligence Research Analyst. The Research Analyst works under the direction of Due Diligence and Analysis leadership and analyzes and consults on various aspects of the Investments and Insurance department.
At Cambridge, our purpose is to make a difference in the lives of our financial professionals, their investing clients, and our associates. Our values of integrity, commitment, flexibility, and kindness continue to guide us in the decisions we make together every day. For 39 years we’ve delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.
A national leader as a financial solutions firm, Cambridge’s commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity. Cambridge has been honored 10 times by our associates as a ‘Top Workplace in Iowa’, and 13 times as ‘Broker-dealer of the Year’ by our financial professionals through Investment Advisor magazine. We are recognized among the leading firms in the financial advice industry as we serve over 3,600 independent financial professionals and hundreds of thousands of their investing clients across the country.
- Analyze and appraise a wide variety of investment products and investment managers including third party service providers on a rotating schedule
- Interact with other departments to gather due diligence information, document and report on findings, drawing conclusions citing specific concerns and making recommendations for continued development of operational due diligence procedures and product availability
- Coordinate, prepare, and present in due diligence meetings with management to discuss potential and existing products and strategists and evaluate their processes, policies, procedures and controls
- Communicate with investment product companies and investigate their programs
- Provide ‘best-in-class’ customer service related to Due Diligence and Analysis information 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
- Lead practices and objectives to enable a high performance culture emphasizing quality, productivity and standards, and goal attainment including documenting Due Diligence processes
- Maintain comprehensive knowledge by monitoring SEC filings and other reports from public programs regarding due diligence, continuing education for FINRA licenses
- Complete analysis of either or both alternative investment products and/or managed account strategies, including but not limited to Cambridge Asset Allocation Platform (CAAP)
Bachelor’s degree from four-year college or university;
Three to five years related experience and/or training; or equivalent combination of education and experience.
Financial Industry Regulatory Authority (FINRA) Series 7, Series 24 and Series 66 licenses are required at hiring or within 6-18 months of hiring. Financial Industry Regulatory Authority (FINRA) Series 63 and 65 may be used to substitute the 66 license requirement.
Advanced degree in finance, economics, mathematics, business, or other analytical area of study, including liberal arts programs, preferred for senior analyst role, but not required.
Financial designation or demonstrable progress towards a designation such as CFA, CAIA, FRM, or CIPM preferred for senior analyst role, but not required.