gifts, non-cash compensation, outside business activities, trading, etc.);> Ability to challenge the Business where there is a potential for regulatory or reputational risk;> The ideal candidate will be proactive, have strong verbal and written communications skills, and the ability to prioritize and handle multiple tasks in a fast-paced environment;> Ability to analyze data and identify and escalate key trends, patterns, and root causes;> Evidence strong leadership capabilities or previous supervisory experience;> Ability to work within a team and act independently;> Relevant Wealth Management Business experience;> Proven ability to interact with Financial Advisors and Branch staff in a professional and productive manner;> Excellent judgment and the ability to be discreet in all matters;> Bachelor's Degree required;> Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66. What you'll do in the role: > Provide Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures;> Participate in senior Compliance management meetings as well as meetings and coordination with senior business leaders in Wealth Management;> Collaborate with Regional Management on high-risk matters identified within the Region (e.g., sales practice issues, conduct matters, outside business activities, and recruits);> Engage with senior stakeholders in Field Management on various issues, including conduct-related matters, policy enhancements, and supervisory functions.>