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Full-Time Opportunity: This is a permanent, full-time position with a competitive package and real career growth potential.
Job Description
Job Description
Serve as a strategic compliance partner to leadership teams developing advisory technology and related offeringsProvide regulatory guidance during product development, process enhancements, and new business initiativesCollaborate across business, product, legal, and operational groups to design and maintain a comprehensive compliance programConduct risk assessments and support monitoring activities to identify vulnerabilities and recommend mitigating controlsInterpret regulatory changes, industry updates, and relevant rulemaking; advise on process and policy impactSupport compliance responsibilities for a FINRA‑registered broker‑dealer, including advisory input and program oversightPartner with the Chief Compliance Officer on program execution, documentation, and regulatory preparednessAssist with marketing and communications reviews for advisory and broker‑dealer materials, where app...