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Full-time Corporate Counsel

at Cambridge Investment Research, Inc in Fairfield, Iowa

Do you have big dreams?

Are you full of ambition?

Is an ordinary job not enough?

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 at least 5 years’ experience practicing as an attorney and will have 2 or more years of experience practicing in the field of securities and investment advisory services. 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
Why Cambridge? At Cambridge, you control the journey by joining a growing, fast-paced company that will help you build a career beyond your expectations. You will be more than just a number at Cambridge – just ask our employees! We were recognized as a Best of Iowa Business for supporting work-life balance. Company Values – Commitment, Integrity, Flexibility and Kindness Stability – join a stable privately-owned company in business for 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. 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

Job Type: Full-time

Required experience:

Securities and Investment Advisory Services: 2 years



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Published at 05-01-2017
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