Assistant Vice President, Compliance

Job Summary

The Assistant Vice President, Compliance supports and advances the firm’s compliance program for its dual registered broker‑dealer and SEC registered investment adviser. Reporting to the Chief Compliance Officer, this role provides end‑to‑end compliance leadership across core BD and RIA functions and serves as a trusted advisor to business partners and leadership. The ideal candidate brings deep regulatory expertise, strong risk judgment, and a practical, solutions‑oriented approach to designing and maintaining controls that meet regulatory expectations while supporting business growth.

• Assess regulatory and business risk, develop and maintain policies and procedures, and ensure compliance controls operate effectively and consistently across the organization.
• Provide comprehensive compliance leadership across BD and RIA functions, including trade surveillance, advertising review, licensing and registration, AML, advisory compliance, OBAs and private securities transactions, branch inspections, and supervisory controls.
• Serve as a key advisor on complex and evolving risk areas, including compensation and payment practices, best execution oversight for equity and fixed income trading, fraud prevention controls, cybersecurity, and vendor management.
• Lead proactive identification, assessment, and management of conflicts of interest for both the BD and RIA, including product, fee and expense, share class, wrap program, revenue sharing, and trading‑related conflicts.
• Oversee regulatory filings and disclosures, including Form ADV, ensuring accuracy, completeness, and alignment with regulatory expectations.
• Partner closely with business, operations, technology, and supervision teams to provide practical compliance guidance that supports strategic initiatives and operational change.
• Monitor regulatory developments and industry trends, advising leadership on emerging risks, rule changes, and required enhancements to the compliance program.
• Support examinations, audits, and internal reviews, including regulator interactions, issue remediation, and ongoing program enhancements.

The ideal candidate will bring 10+ years of compliance experience within a broker‑dealer, investment adviser, or regulatory body, including at least five years in senior leadership roles.

• This job requires the FINRA Series 7 and 24.

$150,000–190,000. 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.

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.

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…