Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides • Assist with Investment Adviser and Broker Dealer compliance testing in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and FINRA Rule 3120• Assist with the development of compliance training and education materials for financial professionals and track completion• Monitor and review trading activity in representatives outside brokerage accounts• Contribute to regulatory change management assignments and assist with compliance manual and policy updates• Other duties and projects as assignedDesired Skills and Experience: • Bachelor’s degree or equivalent combination of education and relevant work experience• Minimum of 5 years of broker-dealer and investment adviser brokerage operations, supervision, or compliance experience• Active FINRA SIE, Series 7 and Series 24 licenses required, Series 4 & 53 within 12 months• Committed to creating a professional environment that places a high value on accountability, handling multiple tasks, and teamwork• Excellent interpersonal communication skills, both written and verbal• Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)• Ability to work independently and take initiative while being part of a team• Proven work ethic with a high level of integrity to build trust with our clients and colleagues• Excited about joining an experienced team and contributing to the direction and growth of the company• Experience with Pershing, Schwab and Fidelity’s platforms preferred• Familiarity with variable annuity and variable life products helpful. • Review and approve written and electronic correspondence, blotters, outside business activities, private securities transactions, political contributions, personal securities accounts and trading activity.•