Regional Director, Supervision

Job Summary

Cambridge Investment Group is seeking a Regional Director to provide supervisory compliance, and relationship management support within the Advocacy and Supervision department. This role works under the direction of Advocacy and Supervision leadership to support Financial Professionals by forming strong partnerships with the firm, while ensuring business activities are conducted in accordance with firm policies, procedures, and applicable regulatory requirements. The ideal candidate brings strong judgment, service orientation, and the ability to balance flexibility, accountability, and compliance in a collaborative, high-performing environment.

Key Deliverables and Responsibilities

• Serve as a trusted resource for Financial Professionals on business strategy, industry changes, branch office growth, and firm resources.
• Plan regular visits to Financial Professional offices, strengthening partnerships with the firm..
• Identify Financial Professionals with growth opportunities and partner with internal teams to develop and implement strategies that support their success.
• Collaborate with Financial Professionals to shape and communicate new policies, procedures, and services.
• Supervise securities activities by reviewing sales activity, correspondence, regulatory documentation, exception reporting, and related supervisory items.
• Serve as an escalation contact for OSJ Supervisors and designees, Financial Professionals, and internal partners.
• Maintain a strong understanding of company revenue and profitability targets, firm-level goals, industry topics, internal programs, departmental procedures, regulatory requirements, and firm policy.
• Leverage data, reporting tools, and responsible technology adoption to identify needs, support process improvement, and deliver practical solutions.
• Work in partnership with team members across the firm on strategic projects, initiatives, and service improvements as needed.
• Interface internally and externally in a professional and courteous manner to support common goals and ensure timely communication of priorities and status updates.

What We Are Looking For

• Five or more years of related experience, education, and/or training in financial services , relationship management, compliance, or a related field.
• FINRA Series 7 and 24 licenses are required.
• FINRA Series 63 or 65, and 51 or 53, licenses are preferred but not required.
• Strong understanding of supervisory review, regulatory documentation, licensing requirements, correspondence review, exception reporting, and escalation practices.
• Proficiency with Microsoft Office and Adobe Acrobat required; experience with Tableau or similar reporting tools preferred.
• Ability to adopt technology, use data and reporting tools effectively, and incorporate AI or automation responsibly to improve daily work activities.
• Ability to travel approximately 8-10 weeks per year for supervisory office visits and related business needs.

Ideal Candidate Profile

• Builds trusted relationships with Financial Professionals, direct reports, leadership, and cross-functional partners.
• Exercises sound judgment by assessing information, identifying risk, and making or recommending appropriate decisions independently and collaboratively.
• Communicates complex issues clearly and explains the reasoning behind decisions in a way that supports understanding and preserves relationships.
• Demonstrates accountability and ownership in following through on supervisory responsibilities, escalations, deadlines, and process commitments.
• Brings a service-oriented mindset with a commitment to timely, accurate, and practical support.
• Adapts well to change and looks for ways to improve processes, increase efficiency, and responsibly leverage technology.
• Works effectively both independently and as part of a team.
• Balances flexibility and compliance by exercising decision-making autonomy while maintaining accountability to firm standards and regulatory expectations.

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.

Originally posted on Himalayas