Cambridge Investment Research, Inc., a national leader as a securities broker/dealer and named by the Des Moines Register among the Top Workplaces in Iowa, is looking to hire Corporate Counsel who will work under the direction of senior counsel. This position is responsible for working with a dynamic, high-performing team that handles a full range of legal matters arising in connection with the firm’s broker-dealer, insurance and registered investment advisor operations.
The ideal candidate will have two to five years experience practicing as an attorney. Preference will be given to candidates who have worked with independent broker-dealers and registered investment advisor firms and have knowledge of the Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934 and the rules and regulations of the Financial Industry Regulatory Authority (FINRA).
** This position is located in Fairfield, IA.
Duties include, but are not limited to: • Interface with and support Legal Leadership and senior management on complex legal and regulatory matters including, but not limited to, regulatory inquiries and examinations, legal opinions, contract negotiations, litigations, and arbitrations • Interface externally in a professional and courteous manner, including with outside counsel, to achieve the Company’s common goals and ensure communication of those goals and statuses to all necessary parties • Provide comprehensive solutions to complex problems or needs including negotiating agreements and drafting contracts for complicated services and relationships related to the Company’s broker-dealer, insurance and registered investment advisor operations • Manage the completion of legal projects including contracts, correspondence, reports, demands and pleadings and offer advice as it relates to any legal commitments of the Company • Perform in-depth research, analysis and monitoring of federal and state laws, rules and regulations, within both the securities and the investment advisory area, and assist in ensuring operations are working within the scope of said laws, rules and regulations • Accurately communicate questions and concerns from rep-advisors to senior management and appropriate home office personnel, assisting with any matter presented for consideration • Coordinate with Legal Leadership, senior management and the Compliance department on arbitration and mediation issues
Education/Experience: • Bachelor’s degree from a four-year college or university • Juris Doctorate from an ABA Accredited Law School
Required Certifications and Licenses: • Licensed in good standing with the Iowa Bar • FINRA Series 7 within 6 months of hire date, Series 24 within 12 months of hire date
Additional Salary Information: Full benefits package, bonus elligible
Cambridge’s purpose is to make a difference in the lives of our advisors, their clients, and our associates. We will do this by being the leading independent firm through competitive differentiation, superior quality, customizable experience, and unique culture. Our values of integrity, commitment, flexibility, and kindness reflect our purpose, define our culture, and direct our actions. We are fo...cused on working smarter through continuous improvement because we believe small changes can bring big results, especially when we are consistently doing the right things and continually setting the highest standards.
Cambridge Investment Group, Inc. is a privately-controlled firm with a national reach across the financial services industry consisting of multiple broker-dealers and RIAs, including: Cambridge Investment Research Advisors, Inc. – a large corporate RIA; and Continuity Partners Group, LLC – a special purpose broker-dealer and investment advisor; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest privately owned independent broker-dealers in the country supporting approximately 3,000 independent financial professionals nationwide who serve their clients as registered representatives and investment advisor representatives, choosing to use either Cambridge’s firm Registered Investment Advisor or their own. Cambridge has approximately 700 home office associates with the majority based in its headquarters in the Midwest. Among the largest employers in Southeast Iowa, Cambridge is a five-time honoree as a Top Workplace, and an eight time honoree as Broker-Dealer of the Year.
Cambridge Investment Research, Inc. (Cambridge) is recognized as the industry pioneer who perfected the fee-based, hybrid advisory model. The firm is an independent, privately controlled broker-dealer that supports traditional commission business, as well as the ever-growing demand from financial advisors and their clients for fee-based solutions. Cambridge is committed to its strong culture of service while delivering the flexibility, choice, and innovative solutions advisors need to successfully run their independent businesses.
At Cambridge, you control the journey by joining a growing, fast-paced company that will help you build a career beyond your expectations.
• Company Purpose – to make a difference in the lives of our advisors, their clients, and our associates
• Company Core Values – Integrity, Commitment, Flexibility, and Kindness
• Stability – join a stable privately controlled company in business for over 30 years, nationally recognized in its industry with an 18-member executive team averaging 20 years industry experience; and no reduction in workforce in over 10 years
• Location – located in a dynamic community recognized as one of the Iowa Great Places featuring abundant recreation, sustainable living, and an entrepreneurial spirit uniquely found amongst the corn fields of southeastern Iowa while being within an hour’s drive to Iowa’s Cultural Corridor, and roughly four hours of driving to Chicago, Kansas City, Minneapolis, Omaha, or St. Louis.
• Benefits include - Medical, Dental, 401(K), Short and Long term disability, Paid Holidays (including your birthday) and away time, LEED certified building, Wellness Benefit, Casual Dress Attire, Half-Mile Walking Trail, Dry Cleaning Services, Carpooling benefit, Volunteer paid time off, Onsite Massage Therapy, Financial Planning Classes