We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law. This role partners closely with business leadership and key control functions to implement and maintain a compliance framework that is designed to ensure adherence to applicable SEC (including Investment Advisers Act requirements), FINRA, and MSRB regulatory requirements.