Hybrid External Audit Analyst bei Cambridge Investment Research, Inc.

Overview:

About Us:

Cambridge Investment Research, Inc. stands as one of the nation’s premier independent financial solutions firms, dedicated to empowering independent financial advisors and their clients. At Cambridge, we cultivate an inclusive, dynamic environment that thrives on innovation, collaboration, and growth. Our team is driven by a shared commitment to excellence, fostering a workplace where every individual feels valued, supported, and inspired to succeed.

 

We provide a comprehensive range of flexible solutions across advice, growth, technology, and independence, tailored to meet the unique needs of our advisors. Guided by our core values—integrity, commitment, flexibility, and kindness—we lead with purpose, delivering impactful results for our clients and partners.

 

At Cambridge, we don’t just adapt to change; we shape it. As innovators, problem solvers, and trailblazers, we are redefining what it means to be independent. We are Cambridge.

 

Job Summary:

The External Audit Analyst plays a key role in ensuring compliance and risk mitigation by supporting and conducting branch office audits across our independent broker-dealer network. This position is responsible for analyzing pre-audit data, performing on-site and remote audits, and communicating findings through formal reports. The analyst will support ongoing compliance by developing process improvements, training internal teams, and guiding advisors through remediation efforts. The ideal candidate will stay current on industry regulations, help ensure adherence to internal policies, and act as a trusted resource to both management and field-facing financial professionals.

 

As a External Audit Analyst, you’ll play a key role in maintaining the integrity of our firm while having opportunities for professional growth and impact. If you are a proactive, compliance-minded professional looking for a meaningful role at a leading independent broker-dealer, we encourage you to apply!

Essential Duties:

In this role, you will:

• Support a Strong Compliance Culture: Analyze and gather critical pre-audit data to help our external audit team prepare for thorough, effective branch office exams.

• Make an Impact Through Innovation: Collaborate on developing and refining audit procedures to drive greater efficiency and accuracy in how we support our rep-advisors and protect the firm.

• Be a Trusted Compliance Partner: Ensure firm and regulatory policies are followed by staying informed of industry changes, advising rep-advisors on new rules, and alerting leadership to potential concerns.

• Educate and Empower Others: Provide responsive support to team members and advisors, lead audit-related trainings, and guide others through resolving audit deficiencies.

• Take Your Skills Into the Field: Conduct on-site audits of rep-advisor offices as identified by firm leadership, assessing risk, controls, and compliance adherence first-hand.

• Drive Accountability and Results: Draft and deliver professional audit reports, communicate findings with clarity, and ensure timely follow-up to confirm that issues are addressed and resolved.

• Stay Ahead of the Curve: Maintain up-to-date knowledge of FINRA regulations, industry best practices, and continuing education requirements to enhance your impact and expertise.

Education & Experience:

The ideal candidate would possess an intermediate level of experience, typically around 4 or more years, with compliance, external audit, or a related field within the financial services industry.

Certificates & Licenses:

Financial Industry Regulatory Authority (FINRA) Series 7, Series 24 and Series 63 licenses are required. 

Preferred Skills:

Compensation: $60,000-$80,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidate’s qualifications, the Company’s operational needs, and other considerations permitted by law. The actual pay offered to a specific candidate may vary above or below the stated range.

 

Benefits: 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. 

 

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