Compliance

• Manage the Compliance Department’s workflow cases and ensure accurate and timely processing
• Support licensed compliance professionals with supervisory review tasks and documentation
• Assist with firm-wide compliance training efforts and educational initiatives
• Assist/manage licensing and registration administrative tasks
• Contribute to the preparation and execution of the firm's branch audit program
• Support broker-dealer and registered investment advisory activities compliance monitoring
• Maintain records related to compliance tasks and policy documentation

Compliance Associate

US Director, Regulatory Policy and Intelligence

Compliance Specialist I

Senior NERC & Operations Compliance Manager – Battery Storage

Senior Principal, IT Governance, Risk and Compliance – GRC

Senior Regulatory Affairs Specialist