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Registration and Licensing Consultant

Cambridge Investment Research -
Phoenix, AZ

Apply Now

Job Details

Full-time
$50,000 - $60,000 a year

Benefits

Wellness program
Paid holidays
Disability insurance
Health insurance
Dental insurance
Paid time off
Vision insurance
Volunteer time off
Life insurance

Qualifications

Customer communication

Full Job Description

Job Summary

Key Deliverables and Responsibilities

We are seeking a knowledgeable and service-driven Registration & Licensing Consultant to support our financial professionals throughout all phases of their affiliation with the firm. This role is responsible for consulting on all aspects of FINRA, state, and investment advisory registrations, as well as insurance appointment processes. The ideal candidate will deliver high-quality customer service and training, foster strong relationships, and ensure compliance with industry regulations.

The Registration & Licensing Consultant will proactively address registration and licensing issues through action planning and cross-departmental collaboration. This role also plays a key part in internal process improvement efforts, contributing to cross-functional initiatives and mentoring peers within the department. A strong understanding of regulatory requirements, effective communication skills, and a commitment to operational excellence are critical for success in this position.

Relationship Management: 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.
Customer Service: 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.
Process Improvement: Identify and lead process improvement initiatives, utilizing continuous improvement methods and tools to enhance the efficiency of registration and licensing procedures.
Leadership & Representation: Act as a positive role model and professional representative of the department and company, participating in cross-divisional committees and task forces when necessary.
Coaching & Mentoring: Coach and mentor associates, offering guidance on projects and initiatives to foster professional development and positive experiences that contribute to long-term business success.
Industry Knowledge: Maintain a current working knowledge of key industry topics, policies, and procedures regarding registration requirements to ensure compliance and best practices are followed.

What We Are Looking For

Salary Range: $50,000-60,000. The salary range provided is a good faith estimate based on the ideal candidate’s qualifications, the company’s operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location.

Why Cambridge? Our comprehensive benefits package is designed to support your health, well-being, and work-life balance. We offer paid time off, paid holidays and floating holidays, medical, dental, and vision coverage, short- and long-term disability, and company-paid life insurance. Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support you both personally and professionally.

You can find more details about our comprehensive benefits package here.

Company Overview: At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have nearly 45 years of experience supporting independent financial advisors with industry-leading tools, compliance, and transition services. Guided by our core values—integrity, commitment, flexibility, and kindness—we put financial advisors first in every decision we make.

Cambridge is an internally controlled, growth-focused independent broker-dealer with $254 billion in assets under advisement and $1.97 billion in annual revenues. We rank among the largest and fastest-growing firms in the industry, providing financial advisors with the flexibility, resources, and support to thrive. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, our 900 associates maintain a 4:1 advisor-to-associate ratio to ensure personalized service.

Our community of over 4,000 producing financial advisors includes diverse business models—RIA, corporate RIA, hybrid, fee-only, and brokerage—and offers a broad selection of investment solutions with no proprietary products. At Cambridge, we are committed to building a diverse, inclusive, and empowering workplace, where 60% of our associates and 18% of our financial advisors are women, and 17% of our advisors are under 40.

Join us to help financial advisors succeed, make an impact, and discover your Something Wonderful. For further information about Cambridge, please visit https://www.joincambridge.com/

Apply Now

Refine Your Search

compliance consultant jobs in phoenix, az

Registration and Licensing Consultant

Security, Risk and Compliance Consultant

Independent Compliance Readiness Consultant

Associate Consultant Compliance

Senior Culture of Compliance Consultant

Senior HQ Compliance Advisor

IAO Change Manager - Intel Contract Employee

Lead Fair and Responsible Banking Risk Consultant

Manager or Senior Managing Consultant, Environmental Due Diligence, Site Investigation and Remediation, and Compliance

M&A IT Diligence Senior Consultant

PEPI Senior Associate - Human Capital M&A (Open to all US locations)

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Explore jobs in cities nearby

I want to receive the latest job alert for compliance consultant in phoenix, az

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