" Maintain and update compliance manuals, policies, and supervisory procedures
" Support compliance testing, monitoring, branch inspections, and internal audits
" Research and communicate regulatory updates and industry changes
" Assist with compliance training and promote a strong compliance culture
" Track corrective actions and support resolution of compliance issues
" Partner with internal teams on compliance projects and regulatory initiatives
" Develop and enhance compliance controls and monitoring processes
" 5 10+ years of compliance experience within Financial Services or an Independent Broker/Dealer environment
" Strong knowledge of Client and SEC regulations, including correspondent clearing and custody relationships
" Excellent communication, analytical, and organizational skills
" Ability to manage multiple priorities in a fast-paced environment
" Bachelor's degree preferred in Finance, Business, or related field
" SIE
" Series 7
" Series 63 or 66
" Series 24 (required)