Regional Director, Supervision

CIR

Regional Director managing compliance support and relationship management within Advocacy and Supervision at Cambridge. Building partnerships and ensuring adherence to firm policies and regulatory guidelines.

Posted 7/10/2026full-timeRemote • 🇺🇾 UruguayLeadWebsite

Tech Stack

Tools & technologies

Tableau

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

Five or more years of related experience, education, and/or training in financial services, relationship management, compliance, or a related field
FINRA Series 7 and 24 licenses are required
FINRA Series 63 or 65, and 51 or 53, licenses are preferred but not required
Strong understanding of supervisory review, regulatory documentation, licensing requirements, correspondence review, exception reporting, and escalation practices
Proficiency with Microsoft Office and Adobe Acrobat required; experience with Tableau or similar reporting tools preferred
Ability to adopt technology, use data and reporting tools effectively, and incorporate AI or automation responsibly to improve daily work activities
Ability to travel approximately 8-10 weeks per year for supervisory office visits and related business needs

Benefits

Comp & perks

Premium benefit package including medical, vision, dental, life and long-term disability insurance
Vacation/sick time
401K retirement plan with company matching program
Eleven paid holidays

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Financial Services ExperienceRelationship ManagementCompliance KnowledgeData AnalysisProcess Improvement

Soft Skills

Communication SkillsCollaborationProfessionalism

Certifications

FINRA Series 63 LicenseFINRA Series 65 LicenseFINRA Series 51 LicenseFINRA Series 53 License