Overview About Us: Cambridge Investment Research Inc. is one of the nation’s top independent financial solutions firms. We are committed to fostering an inclusive and dynamic work environment where innovation, collaboration, and growth are encouraged. Our team is dedicated to driving success and creating a workplace where every employee feels valued and empowered. Job Summary: The Client Resolution Analyst is responsible for managing the intake and documentation of complex customer complaints, arbitrations, and litigations while monitoring case progress and ensuring adherence to regulatory standards. This role requires exceptional organizational and communication skills to support Regulatory Affairs through accurate record-keeping, drafting correspondence, and responding to FINRA inquiries. The Specialist will also provide ongoing customer service, support compliance-related requests, and apply continuous improvement techniques to enhance procedural efficiency. The position demands high attention to detail and a solid understanding of industry compliance, regulatory requirements, and confidentiality practices. Essential Duties Complaint and Case Management: Document and monitor complex customer complaints, arbitrations, and litigation cases, ensuring all entries are complete and accurate. Track case progress and update logs and systems regularly. Regulatory Correspondence and Reporting: Draft precise written communications detailing case facts and findings. Relay regulatory disclosures to relevant stakeholders, including management, company associates, and registered representatives. Policy and Procedure Adherence: Verify that Cambridge staff and financial professionals follow all external and internal policies, maintaining compliance with industry standards and company protocols. Support for Regulatory Affairs: Assist the Regulatory Affairs team in researching FINRA inquiries, compiling necessary information, and managing request logs and documentation to facilitate smooth communication with regulators. Customer Service and Information Requests: Provide timely and professional responses to information requests from management, associates, and registered representatives, maintaining confidentiality and a customer-focused approach. Industry Knowledge and Compliance Education: Stay current on industry compliance issues, key trends, and relevant regulatory updates. Pursue continuing education to maintain FINRA Series 7 licensure and ensure adherence to best practices. Confidentiality and Security: Safeguard sensitive information, documents, and files, adhering to company policies on confidentiality and data security for all sensitive matters. Process Improvement: Utilize continuous improvement tools to identify and address procedural gaps, leading efforts to enhance the efficiency and effectiveness of compliance processes. Education & Experience The ideal candidate would possess an intermediate level of experience, typically around 3+ years of experience in compliance, regulatory affairs or a related field, preferably within the financial industry. Certificates & Licenses This job requires obtaining FINRA Securities Industry Essentials (SIE) within 12 months. Compensation: $45,000-$55,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidate’s qualifications, the Company’s operational needs, and other considerations permitted by law. The actual pay offered to a specific candidate may vary above or below the stated range. What We Offer: Health & Wellness: Comprehensive medical, dental, and vision plans; wellness stipends and resources; and mental health support. Financial Security: 401(k) retirement plan with company matching program Time Off & Flexibility: Paid time off, eleven paid holidays, family leave, and options for hybrid work. Career Growth: Access to learning platforms, mentorship programs, and leadership training. You can find more details about our comprehensive benefits package here. #LI-MM2 Preferred Skills Excellent written and verbal communication skills