Compliance

• Oversee and review the activities of registered representatives and investment adviser representatives for compliance with FINRA, SEC, and state regulations.
• Conduct daily, weekly, and periodic reviews of transactions, new accounts (post-transaction), and client correspondence—including email and social media—for suitability and compliance with firm policies.
• Provide guidance and support to financial professionals on complex compliance issues, firm policies, and regulatory updates.
• Conduct internal audits and branch examinations to assess supervisory controls and identify potential deficiencies.
• Participate in the firm’s annual compliance review and assist with preparation of required reports.
• Identify, monitor, and escalate potential sales practice concerns, conflicts of interest, and other high-risk activities.
• Develop and deliver compliance training programs for new and existing staff to ensure understanding of regulatory obligations.
• Manage heightened supervision programs for representatives with disclosure events or escalated concerns.
• Document supervisory plans and maintain ongoing oversight of supervised individuals.
• Provide regular supervision reports and updates to the Chief Compliance Officer (CCO).
• Track supervisory metrics, analyze trends, and escalate systemic issues for corrective action.
• Stay current on changes to federal and state securities laws and communicate updates to firm leadership and personnel.
• Apply strong analytical, problem-solving, and risk-assessment skills to anticipate potential issues.
• Demonstrate deep knowledge of FINRA, SEC, and state securities regulations as applicable to registered representatives and investment adviser representatives.
• Maintain strong attention to detail and effectively manage multiple priorities.
• Ability to travel less than 25% of the year.

Regional Compliance Officer

Risk & Compliance Manager – Fintech Specialist (Remittances, Wallets, Cross-border Payments)

Process Compliance Analyst

Compliance & Risk Management Lead

Regulatory Compliance Manager

Internal Audit & Compliance Manager