ESSENTIAL FUNCTIONS: Works in partnership with the other Market Leaders, Market Leader (ML), Market Administration Leader (MAL) and Central Principal (CP), on the assigned market's adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies. 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.