Cambridge Investment Research, Inc. · 6 days ago
Registration and Licensing Consultant
Fairfield, IA
Full-time
Hybrid
Mid Level
$50K/yr - $65K/yrCambridge Investment Research, Inc. is seeking a knowledgeable and service-driven Registration & Licensing Consultant to support financial professionals throughout their affiliation with the firm. The role involves consulting on FINRA, state, and investment advisory registrations and ensuring compliance with industry regulations while delivering high-quality customer service and fostering strong relationships.
BankingFinanceFinancial Services
Responsibilities
Build and maintain strong, positive relationships with financial professionals by offering comprehensive registration process training during onboarding and providing ongoing support throughout their time with the firm
Deliver high-quality customer service by addressing concerns and resolving issues related to registration and licensing processes, while working closely with other departments and external entities as needed
Identify and lead process improvement initiatives, utilizing continuous improvement methods and tools to enhance the efficiency of registration and licensing procedures
Act as a positive role model and professional representative of the department and company, participating in cross-divisional committees and task forces when necessary
Coach and mentor associates, offering guidance on projects and initiatives to foster professional development and positive experiences that contribute to long-term business success
Maintain a current working knowledge of key industry topics, policies, and procedures regarding registration requirements to ensure compliance and best practices are followed
Qualification
Required
Knowledgeable and service-driven Registration & Licensing Consultant
Strong expertise in FINRA, state, and investment advisory registrations
Experience with insurance appointment processes
Ability to deliver high-quality customer service
Effective communication skills
Strong relationship-building skills
Commitment to operational excellence
Proactive identification and resolution of licensing issues
Cross-departmental collaboration skills
Contribution to process improvement initiatives
Mentoring skills
Current working knowledge of key industry topics, policies, and procedures regarding registration requirements
Benefits
Paid time off
Paid holidays and floating holidays
Medical, dental, and vision coverage
Short- and long-term disability
Company-paid life insurance
Volunteer time off
Wellness incentives
Additional benefits that support you both personally and professionally
Company
Cambridge Investment Research, Inc.
Do you control your journey? Are you independent? At Cambridge, we are business innovators, financial planners, wealth advisors, business builders, next generation, retirement planners, visionaries, investment advisors, succession planners, entrepreneurs, and business owners.
Founded in 1981
501-1000 employees
Funding
Current Stage
Late StageTotal Funding
$15.89M2024-03-19Series Unknown· $6.31M
2014-08-22Series Unknown· $6.13M
2013-06-25Series Unknown· $3.46M
Leadership Team
Amy Webber
President and Chief Executive Officer
Recent News
2026-01-06
2025-12-03
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