Establish and maintain a risk-based compliance review program covering supervisory practices, advisor activity, sales practices, customer interactions, marketing, communications, complaints, conflicts of interest, outside business activities, and trading activity, including discretionary, brokerage, and managed accounts. Serve as the primary compliance liaison for the SEC, FINRA, and other applicable federal and state regulators, including management of examinations, audits, inquiries, and related remediation efforts, as well as providing support for compliance and risk personnel regulated by the OCC.