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. This person will manage a team of commission operations professionals and serve as a key partner to Financial Advisors, Sales Leadership, Product teams, Finance, Accounting, and external product sponsors.