The role prepares and reviews management and exception reports, serves as an expert resource for complex problem solving, and manages the unit budget by increasing revenue, controlling costs, and reducing expenses. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.