Account Specialist

• Communicate policies and procedures to advisors and associates while helping maintain regulatory compliance
• Identify potential policy violations and escalate concerns to leadership when appropriate
• Respond to phone, email, voicemail, and occasional in-person inquiries in a professional and timely manner
• Research industry rules, regulations, and compliance requirements
• Monitor and support registered investment advisory (RIA) communications and documentation
• Develop and maintain knowledge of industry compliance standards, regulations, and best practices
• Handle sensitive and confidential information with discretion and professionalism
• Participate in departmental projects and cross-training opportunities as needed

Account Review Specialist

Product Manager

• Own product outcomes and OKRs, define measurable outcomes, establish baselines, maintain a product scorecard, and manage trade-offs
• Set Salesforce product vision and strategy, develop roadmaps, and communicate sequencing and rationale
• Lead multi-team discovery using research, analytics, instrumentation, and stakeholder input
• Prioritize enterprise demand across competing needs using value, risk, effort, dependencies, and compliance criteria
• Translate strategy into outcomes, epics, and acceptance criteria
• Partner with engineering, architecture, security, risk, compliance, governance, and operations teams
• Define instrumentation and reporting for adoption, reliability, performance, quality, policy compliance, and time-to-value
• Mentor Associate Product Owners and Product Owners
• Establish product rituals and artifacts including roadmap reviews, quarterly planning inputs, decision logs, and release communications
• Define ownership and operating agreements, governance forums, and escalation paths
• Lead Salesforce strategy, roadmap, backlog priorities, adoption, and measurable outcomes for enterprise capabilities

Director, Product Management – Salesforce

Product Designer

• Lead and mature Product Design as an enterprise capability within Cambridge’s Product Operating Model
• Manage the Product Design team and serve on the Product Strategy leadership team
• Develop Product Design strategy aligned with product taxonomy, portfolio priorities, operating model, and enterprise product strategy
• Establish standards for interaction design, visual design, information architecture, service design, usability, accessibility, research quality, and design governance
• Strengthen Product-Design-Engineering partnerships and promote shared accountability
• Build DesignOps practices for intake, capacity planning, prioritization, rituals, reviews, metrics, and governance
• Produce design artifacts for strategic, complex, ambiguous, or high-priority product initiatives
• Lead discovery workshops, journey maps, service blueprints, workflow models, wireframes, prototypes, concepts, usability tests, and research synthesis
• Conduct product discovery, customer validation, design critiques, and executive-ready experience storytelling
• Partner with Product, Engineering, Data, Operations, Compliance, and business stakeholders
• Lead, mentor, recruit, hire, onboard, retain, and develop Product Designers
• Build career frameworks, competency models, coaching practices, growth paths, and future design leadership capability
• Establish scalable user research practices, repositories, governance, and insight-sharing routines
• Lead design system governance, reusable patterns, component standards, and experience guidelines
• Establish accessibility and inclusive design practices in a regulated financial services environment
• Guide design strategy for AI-enabled experiences, intelligent workflows, recommendations, insights, automation, and responsible human-centered AI

Manager, Product Design

Human Resources

• Assist managers with employee relations, compensation, and performance management
• Provide strategic HR guidance
• Deliver counsel on HR issues and conduct investigations
• Utilize HR metrics for informed decision making

Human Resources Business Partner

Compliance

• Review and approve communications with the public to fulfill supervisory and regulatory requirements, including stationery, newsletters, websites, podcasts, videos, social media content, reporting templates, and other advertising materials.
• Applies critical thinking and analytical judgment to evaluate advertising content, imagery, performance reporting templates, and disclosures for compliance risks while maintaining service level standards.
• Research, interpret, and apply regulations and firm policies to a wide variety of advertising scenarios, including situations where context determines whether specific wording, imagery, or claims are appropriate.
• Draft, tailor, and recommend disclosure language when standard disclosures do not fully address the facts or risks of a specific submission.
• Clearly communicate required changes, explain the reason for revisions, and provide alternate language or practical options to help financial professionals achieve compliant outcomes.
• Provide responsive customer service to management, company associates, and financial professionals; track open issues and follow up consistently through resolution.
• Communicate internal and external policies and procedures, monitor adherence, and escalate potential violations or concerns to management as appropriate.
• Maintain working industry knowledge and complete continuing education requirements for applicable FINRA licenses, including Series 7 and Series 24.

Advertising Compliance Analyst

Financial Planning and Analysis

• Serve as Tier 2 support for finance-related applications, troubleshooting and resolving system issues
• Manage user access (activations/deactivations) and respond to internal and external system inquiries
• Lead incident management for third-party applications, coordinating with IT/IS teams as needed
• Identify, implement, and support automation tools, AI solutions, and system integrations
• Analyze accounting processes to uncover opportunities for efficiency improvements
• Ensure data integrity across financial systems and maintain system uptime
• Act as a liaison between accounting users and technology teams
• Drive continuous improvement through data-driven insights

Workday Financials Analyst

Data Specialist

• Enter, update, and verify client and account information with a high degree of accuracy.
• Conduct research and review business processes and data to identify and resolve discrepancies.
• Troubleshoot issues using internal technology platforms and databases.
• Respond professionally to phone, email, voicemail, and occasional in-person inquiries.
• Partner with departments across the organization to maintain accurate account information.
• Perform quality control reviews and accuracy checks to ensure data standards are met.
• Assist with onboarding and training new associates on processes and procedures.
• Support special projects and cross-functional initiatives as needed.

Data Integrity Specialist

Principal

• Review, analyze, and approve daily transactions
• Ensure adherence to compliance and regulatory standards
• Provide professional problem-solving support and training to financial professionals

Supervisory Principal

• support accounting and operational processes through advanced review activities
• provide customer service support
• project coordination
• conduct audits
• coordinate training resources and process documentation
• assist with accounting-related projects and data research
• process service requests
• manage workflow across the department
• contribute to quality assurance efforts
• identify process improvements

Financial Professional, Compensation Consultant

Director

• Serve as a trusted resource for Financial Professionals on business strategy, industry changes, branch office growth, and firm resources
• Plan regular visits to Financial Professional offices, strengthening partnerships with the firm
• Identify Financial Professionals with growth opportunities and partner with internal teams to develop and implement strategies that support their success
• Collaborate with Financial Professionals to shape and communicate new policies, procedures, and services
• Supervise securities activities by reviewing sales activity, correspondence, regulatory documentation, exception reporting, and related supervisory items
• Serve as an escalation contact for OSJ Supervisors and designees, Financial Professionals, and internal partners
• Maintain a strong understanding of company revenue and profitability targets, firm-level goals, industry topics, internal programs, departmental procedures, regulatory requirements, and firm policy
• Leverage data, reporting tools, and responsible technology adoption to identify needs, support process improvement, and deliver practical solutions
• Work in partnership with team members across the firm on strategic projects, initiatives, and service improvements as needed
• Interface internally and externally in a professional and courteous manner to support common goals and ensure timely communication of priorities and status updates

Regional Director, Supervision

Paraplanner

• Prepare and support comprehensive financial plans and client recommendations
• Analyze client data (income, assets, liabilities, cash flow)
• Research investment, retirement, and insurance products
• Prepare meeting materials, reports, and supporting documentation
• Maintain accurate client records and assist with account updates and paperwork
• Collaborate closely with financial advisors on ongoing plan reviews

• Review and approve communications with the public to fulfill supervisory and regulatory requirements
• Applies critical thinking and analytical judgment to evaluate advertising content for compliance risks
• Research, interpret, and apply regulations and firm policies to advertising scenarios
• Draft, tailor, and recommend disclosure language for specific submissions
• Provide responsive customer service to management and financial professionals
• Communicate internal and external policies and procedures and monitor adherence

• Serve as an Office of Supervisory Jurisdiction (OSJ) designee by reviewing and approving correspondence, securities activities, licensing items, Outside Business Activity reports, daily trade blotters, and other supervisory reports for assigned regions.
• Supervise and collaborate with direct reports, including oversight of securities activities, Special Supervisory Plans, licensing requirements, sales activity, policy communication, and follow-up related to firm procedures.
• Support the recruiting and financial professional approval process by reviewing complex business model structures, U4 matters, special exceptions, and other items requiring supervisory judgment.
• Support the supervisory visit process by gathering relevant information, documenting follow-up items, and helping ensure visit-related standards are met.
• Respond to requests for assistance from existing financial professionals, new financial professionals, recruits, staff, sponsor partners, and other stakeholders by troubleshooting issues and identifying practical solutions.
• Process exception reporting, document trends, and elevate insights for review by Advocacy and Supervision leadership.
• Maintain working knowledge of key industry topics, internal programs, departmental procedures, and relevant firm resources.
• Support and collaborate with direct reports to review supervisory activities and practice efficiency for those under their supervision.
• Participate in special projects, committees, working groups, and firmwide initiatives that advance strategic goals and process improvements.

Associate Regional Director – Supervision Principal

Accounting Manager

• Update Accounting systems and databases, including daily transactions, schedules, general ledger entries, and related records
• Process scheduled compensation, including management fee and service fee calculations, with accuracy and attention to detail
• Own assigned queue work and routine team tasks while meeting service expectations and maintaining accountability
• Supply information and responsive service to management, associates, and financial professionals as needed
• Protect confidential information, data, and files through appropriate planning, accuracy, and security awareness
• Use department systems, spreadsheets, approved technology tools, and approved Agentic AI capabilities to support accurate processing, research, efficiency, and process improvement
• Apply analytical thinking, curiosity, and sound judgment to research issues, identify patterns, make good-quality decisions, and understand the reasoning behind those decisions
• Demonstrate an improvement and change champion mindset by adapting quickly, supporting process transitions, and identifying opportunities to streamline work
• Develop subject matter expertise and pursue continued growth within Accounting and Cambridge Investment Research

Accounting Specialist

Client Services Representative

• Deliver exceptional service by addressing client questions and providing timely solutions
• Research and resolve complex client service issues while keeping advisors informed of progress and outcomes
• Serve as a trusted resource for clients, advisors, and internal team members
• Communicate next steps clearly and proactively to ensure a seamless client experience
• Support financial advisors with client servicing, account maintenance, and planning-related activities
• Prepare materials for client meetings and ensure all meeting deliverables are accurate and complete
• Attend client meetings when requested, take detailed notes, and assist with follow-up action items
• Run reports and provide data from portfolio management and financial planning platforms
• Review client presentations and planning materials for quality and accuracy
• Track client workflows, outstanding requests, and deliverables to ensure timely completion
• Utilize CRM systems, financial software, and technology platforms to maintain accurate client records
• Prepare and submit client maintenance forms and documentation
• Develop and maintain written procedures and systems that support team efficiency

CIR

Account Review Specialist

Director, Product Management – Salesforce

Manager, Product Design

Human Resources Business Partner

Advertising Compliance Analyst

Workday Financials Analyst

Data Integrity Specialist

Supervisory Principal

Financial Professional, Compensation Consultant

Regional Director, Supervision

Paraplanner

Advertising Compliance Analyst

Associate Regional Director – Supervision Principal

Accounting Specialist

Client Services Consultant