Job Description
1. Serve as a strategic compliance partner to leadership teams developing advisory technology and related offerings
2. Provide regulatory guidance during product development, process enhancements, and new business initiatives
3. Collaborate across business, product, legal, and operational groups to design and maintain a comprehensive compliance program
4. Conduct risk assessments and support monitoring activities to identify vulnerabilities and recommend mitigating controls
5. Interpret regulatory changes, industry updates, and relevant rulemaking; advise on process and policy impact
6. Support compliance responsibilities for a FINRA‑registered broker‑dealer, including advisory input and program oversight
7. Partner with the Chief Compliance Officer on program execution, documentation, and regulatory preparedness
8. Assist with marketing and communications reviews for advisory and broker‑dealer materials, where applicable
9. Drive cross‑functional collaboration and influence stakeholders at all levels to ensure compliance readiness