Supervision Principal - Trade Review

Job Summary

Cambridge is seeking an Advocacy and Supervision Principal with an emphasis on Trade Review. This role is responsible for reviewing, analyzing, and approving daily transactions and account activity while helping ensure adherence to firm policies, clearing firm requirements, and applicable regulatory standards. The ideal candidate is a thoughtful, detail-oriented decision-maker who can assess complex situations, identify potential risk, and balance service with sound supervisory judgment.

Key Deliverables and Responsibilities

• Use the firm’s compliance engine, including ProSurv for trade surveillance and supervisory review, dual brokerage platforms, clearing firm reports, and custom reporting tools to conduct supervisory reviews and identify activity that may require escalation.
• Review, analyze, and approve daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts.
• Review client information, suitability forms, new account documentation, sponsor applications, third-party money manager agreements, CIRA advisory agreements, and independent advisory paperwork for completeness, accuracy, and acceptance.
• Provide review and oversight of OSJ approval trades and brokerage account transactions for financial professionals reporting to the home office.
• Research complex questions, assess suitability and risk, and make independent recommendations while maintaining strong working relationships with financial professionals and internal partners.
• Ensure adherence to firm policies and procedures, clearing firm policies, and applicable requirements; inform management of potential violations or concerns.
• Provide professional, courteous problem-solving and troubleshooting support for inbound phone calls, voicemails, emails, and occasional in-person inquiries from existing and new financial professionals and staff.
• Assist with the organization, development, and delivery of training programs and materials for new and existing financial professionals, including phone training and administrative workshops.

What Makes Someone Successful in This Role:

A strong Principal investigates rather than simply processes. They ask thoughtful questions such as, “What am I missing?”, “Does this make sense?”, “What is the client’s objective?”, and “Is there a pattern here?” They are willing to go where the work is, navigate available resources, make difficult decisions when they are the right decisions, and escalate concerns appropriately.

What We Are Looking For

2+ years of related experience, education, and/or training in supervision, compliance, brokerage operations, financial services, or a related field.

Certificates and Licenses:

Financial Industry Regulatory Authority (FINRA) Series 7 and Series 24 licenses are required. Series 51 and Series 66 licenses are highly recommended.

The successful candidate will be detail-oriented, resourceful, and comfortable working through complex or ambiguous situations. This role requires sound judgment, strong communication skills, and the ability to make independent decisions and clearly explain the rationale behind them.

Key qualifications include:

• Strong understanding of FINRA regulations and the ability to research and apply guidance to complex questions.
• Fluent in technology and an active participant in change management.
• Ability to assess complex situations and transactions, identify risk, and determine when escalation is appropriate.
• Ability to balance risk management, service, and relationship management while making sound supervisory decisions.
• Demonstrated initiative, self-motivation, and ability to work independently without close direction.
• Ability to organize and manage multiple priorities, meet deadlines, and work effectively under pressure.

Why Cambridge?

Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.  

• 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 

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

Cambridge Overview:

Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country.  Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.