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Associate Director Legal

Company: Cambridge Investment Research, Inc
Location: Fairfield
Posted on: September 13, 2020

Job Description:

Cambridge Investment Research Inc., one of the nation’s top independent broker-dealers, is actively looking for a person who has a passion for research, analysis and monitoring of regulations to join the Legal Department for a full time Associate Director Legal. The Associate Director works under the direction of Legal leadership.

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 nine times by our associates as a ‘Top Workplace in Iowa’, and 12 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 3,500 independent financial professionals and hundreds of thousands of their investing clients across the country.

The Associate Director, Legal works under the direction of Legal leadership and assists with handling the daily and ongoing legal projects at the request of management in the Legal Department.

Provide research and analysis with respect to issues or problems assigned by department management

Reviewing and drafting contracts applicable to the Company’s business

Perform in-depth research, analysis and monitoring of federal and state laws, rules and regulations, within both the securities and the investment advisory area, and assist in ensuring operations are working within the scope of said laws, rules and regulations

Accurately communicate questions and concerns from financial professionals to senior management and appropriate home office personnel, assisting with any matter presented for consideration

Coordinate with senior management and the Compliance department on arbitration and mediation issues

Interface within the company in a professional and courteous manner to achieve the Company’s common goals and ensure communication of those goals and statuses to all necessary parties

Education & Experience Bachelor’s degree from four-year college or university; Juris Doctorate from an ABA Accredited Law School.

Certificates & Licenses Licensed in good standing with the Iowa Bar. Financial Industry Regulatory Authority (FINRA) Series 7 and 66 licenses are required within 18 months of hire.

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Keywords: Cambridge Investment Research, Inc, Fairfield , Associate Director Legal, Other , Fairfield, California

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