• Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm. • Partner with business units to understand workflows, monitor controls, and implement compliance process improvements. • Draft, update, and maintain compliance policies and supervisory procedures. • Review advertising, marketing, and electronic communications for regulatory compliance. • Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses. • Assist in the preparation and submission of required regulatory filings and reports. • Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads. • Assist in the preparation and submission of required regulatory filings and reports. • Experience with new product launches and ongoing product governance.