Job Description
Job Summary
The Surveillance Analyst plays a critical role in supporting the firm’s supervisory and regulatory compliance framework. This position is responsible for monitoring and analyzing exception reporting data to identify, investigate, and help resolve potential policy violations. The analyst partners with internal stakeholders to uphold compliance standards, ensure adherence to regulatory requirements, and strengthen supervisory controls across the organization.Key responsibilities include coordinating Personal Securities Authorizations, conducting trade and correspondence review quality assurance for OSJ Supervisors, and collaborating across departments to resolve compliance-related issues. The role also serves as a resource to financial professionals, associates, and leadership by providing guidance on compliance matters, communicating firm and clearing firm policies, and ensuring consistent application of procedures.
The Surveillance Analyst maintains active industry knowledge and supports ongoing regulatory obligations, including continuing education requirements associated with FINRA licenses (Series 7 and 24). For exceptional candidates, the firm has flexibility to hire at a Senior Surveillance Analyst level with expanded scope and responsibility.
Key Deliverables and Responsibilities
Fulfill supervisory and regulatory requirements including, but not limited to analyzing exception reporting data, detecting, preventing, and resolving potential policy violations, coordinating Personal Securities Authorizations, performing trade review and correspondence review quality assurance for OSJ Supervisors and working with other department stakeholders to resolve issues
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 internal policies and procedures, as well as external clearing firm policies and procedures to financial professionals and employees, ensure policies/ procedures are being followed and inform management of potential violations
Maintain working industry knowledge of key topics and continuing education for FINRA licenses (Series 7 and 24)
What We Are Looking For
The ideal candidate is a detail-oriented compliance professional with a strong analytical mindset and a commitment to regulatory excellence, demonstrating sound judgment, proactive problem-solving skills, and the ability to manage multiple priorities in a fast-paced environment.
Certifications:
FINRA Series 7 and 24 licenses (or ability to obtain)
Salary Range: $65,000-95,000. The salary range provided is a good faith estimate based on the ideal candidate’s qualifications, the company’s operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location. We will consider senior level talent who bring a deeper subject matter expertise at a Senior Analyst level as well.
Why Cambridge? Our comprehensive benefits package is designed to support your health, well-being, and work-life balance. We offer paid time off, paid holidays and floating holidays, medical, dental, and vision coverage, short- and long-term disability, and company-paid life insurance. Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support you both personally and professionally.
You can find more details about our comprehensive benefits package here.
Company Overview: At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have nearly 45 years of experience supporting independent financial advisors with industry-leading tools, compliance, and transition services. Guided by our core values—integrity, commitment, flexibility, and kindness—we put financial advisors first in every decision we make.
Cambridge is an internally controlled, growth-focused independent broker-dealer with $254 billion in assets under advisement and $1.97 billion in annual revenues. We rank among the largest and fastest-growing firms in the industry, providing financial advisors with the flexibility, resources, and support to thrive. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, our 900 associates maintain a 4:1 advisor-to-associate ratio to ensure personalized service.
Our community of over 4,000 producing financial advisors includes diverse business models—RIA, corporate RIA, hybrid, fee-only, and brokerage—and offers a broad selection of investment solutions with no proprietary products. At Cambridge, we are committed to building a diverse, inclusive, and empowering workplace, where 60% of our associates and 18% of our financial advisors are women, and 17% of our advisors are under 40.
Join us to help financial advisors succeed, make an impact, and discover your Something Wonderful. For further information about Cambridge, please visit https://www.joincambridge.com/
Work Environments: This role offers a hybrid schedule, requiring three days weekly in the office. Applicants should be located near one of our hubs (Fairfield, IA or Phoenix, AZ) and must be willing to work this schedule.
Recruiting Agencies: This position is being managed directly by Cambridge’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Fees will not be paid for unsolicited submissions. Your respect for this process is appreciated.
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