• Conduct onsite branch inspections to evaluate supervisory systems, branch signage, records, and adherence to firm policies and regulatory requirements. • Provide compliance training to branch staff and business partners to reinforce policies and regulatory obligations. • Draft, review, and update compliance policies and procedures to reflect regulatory changes and best practices. • Review and approve advertising and marketing materials in accordance with FINRA Rule 2210 and firm policies and procedures. • Offer guidance and compliance advice to business partners on day-to-day issues and emerging risks. • Assist in investigating potential fraud, financial exploitation, and elder abuse claims, ensuring timely escalation and resolution. • Participate in special projects, targeted reviews, and other initiatives to strengthen the firm’s compliance program. • Collaborate with Supervision, Sales, and other control functions to maintain a strong compliance culture.