Fiduciary Services Financial Planning Analyst

Cambridge Investment Research, Inc. - Fairfield, IA3.9

Full-time
Cambridge Investment Research, Inc., a national leader as a securities broker/dealer, has an opening in Fiduciary Services for a full time Analyst.

Job Summary:
The Analyst works under the direction of Fiduciary Services Leadership and analyzes various aspects of the department function.

Essential Duties and Responsibilities:
Responsible for daily review of financial planning engagements, and entering relevant information into internal systems.
Communicate internal policies and procedures related to financial planning services to both advisors and employees.
Assist with review of financial planning activities of advisors to ensure compliance with firm policies.
Ensure compliance policies are being followed and inform management of potential violations.
Communicate regulatory rules governing financial planning services to ensure advisors stay in compliance with regulatory guidelines.
Research rules and regulations relevant to financial planning and advisory services in general.
Assist with development and implementation of new or improved procedures to streamline service processes.
Review, analyze, track documentation of financial planning services.
Answer and problem-solve incoming telephone, voicemail, and e-mail inquiries professionally and courteously including escalated requests.
Maintain working industry knowledge of key topics and continuing education.

Education/Experience:
Associate’s degree or equivalent from two-year college or technical school; or six months to one year related experience and/or training; or equivalent combination of education and experience.

Certificates and Licenses:
No licenses are required however the Series 66 or Series 65 is preferred.