Director Legal
Cambridge Investment Research Inc.
, one of the nations top independent financial solutions firm, is actively looking for a person who has a passion for collaborating with others, conducting research and drafting legal documents to join the Legal Department as a full time Director of Legal in our Fairfield, Iowa office.
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 over 40 years weve delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.
A national leader as a financial solutions firm, Cambridges commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity.
Cambridge has been honored 12 times by our associates as a Top Workplace in Iowa1 and 13 times as Broker-dealer of the Year by our financial professionals through Investment Advisor magazine2.
We are recognized among the leading firms in the financial advice industry as we serve independent financial professionals and hundreds of thousands of their investing clients across the country.
1The Top Workplace in Iowa, 2020 2011, recognition is determined by associate feedback through an anonymous survey conducted by Energage, an independent research company.
2Investment Advisor magazine, 2020, 2019, 2018, 2017, 2016, 2015, 2014, 2013, 2012, 2010, 2008, 2007, Division IV; 2003, Division III.
Provide comprehensive solutions to complex problems or needs including drafting and reviewing contracts signed at the corporate level and reviewing and approving communications and reports
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 Companys common goals and ensure communication of those goals and statuses to all necessary partiesBachelors degree from four-year college or university; Juris Doctorate from an ABA Accredited Law School; and three years related experience and/or training; or equivalent combination of education and work experience.
Licensed in good standing with the Iowa Bar.
Financial Industry Regulatory Authority (FINRA) Series 7 and 24 or 66 (at department leadership discretion) licenses are required.
Compensation:
$105,000-$120,000.
This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidates qualifications, the Companys operational needs, and other considerations permitted by law.
The actual pay offered to a specific candidate may vary above or below the stated range.
Benefits:
Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.
Premium benefit package including medical, vision, dental, life and long-term disability insurance
Vacation/sick time
401K retirement plan with company matching program
Profit Sharing Plan
Nine paid holidaysYou can find more details about our comprehensive benefits package here.
Job ID:
2023-2257 External Company Name:
Cambridge Investment Research, Inc.
External Company URL:
https:
//www.
joincambridge.
com/home/ Telecommute:
No Recommended Skills Communication Financial Industry Regulatory Authorities Leadership Securities (Finance) Series 7 General Securities Representative License (Stockbroker) State Laws Estimated Salary: $20 to $28 per hour based on qualifications.
, one of the nations top independent financial solutions firm, is actively looking for a person who has a passion for collaborating with others, conducting research and drafting legal documents to join the Legal Department as a full time Director of Legal in our Fairfield, Iowa office.
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 over 40 years weve delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.
A national leader as a financial solutions firm, Cambridges commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity.
Cambridge has been honored 12 times by our associates as a Top Workplace in Iowa1 and 13 times as Broker-dealer of the Year by our financial professionals through Investment Advisor magazine2.
We are recognized among the leading firms in the financial advice industry as we serve independent financial professionals and hundreds of thousands of their investing clients across the country.
1The Top Workplace in Iowa, 2020 2011, recognition is determined by associate feedback through an anonymous survey conducted by Energage, an independent research company.
2Investment Advisor magazine, 2020, 2019, 2018, 2017, 2016, 2015, 2014, 2013, 2012, 2010, 2008, 2007, Division IV; 2003, Division III.
Provide comprehensive solutions to complex problems or needs including drafting and reviewing contracts signed at the corporate level and reviewing and approving communications and reports
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 Companys common goals and ensure communication of those goals and statuses to all necessary partiesBachelors degree from four-year college or university; Juris Doctorate from an ABA Accredited Law School; and three years related experience and/or training; or equivalent combination of education and work experience.
Licensed in good standing with the Iowa Bar.
Financial Industry Regulatory Authority (FINRA) Series 7 and 24 or 66 (at department leadership discretion) licenses are required.
Compensation:
$105,000-$120,000.
This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidates qualifications, the Companys operational needs, and other considerations permitted by law.
The actual pay offered to a specific candidate may vary above or below the stated range.
Benefits:
Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.
Premium benefit package including medical, vision, dental, life and long-term disability insurance
Vacation/sick time
401K retirement plan with company matching program
Profit Sharing Plan
Nine paid holidaysYou can find more details about our comprehensive benefits package here.
Job ID:
2023-2257 External Company Name:
Cambridge Investment Research, Inc.
External Company URL:
https:
//www.
joincambridge.
com/home/ Telecommute:
No Recommended Skills Communication Financial Industry Regulatory Authorities Leadership Securities (Finance) Series 7 General Securities Representative License (Stockbroker) State Laws Estimated Salary: $20 to $28 per hour based on qualifications.
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