• Modify, update, and implement the investment adviser and broker-dealer written policies and procedures in response to regulatory and business requirements. • Responsible for the annual review and refresh of the compliance department's Standard Operating Procedures (SOPs). • Identify, prioritize, and mitigate investment adviser and broker-dealer risks to ensure compliance with regulatory requirements across the organization. • Assist the CCO with SEC and FINRA examinations, inquiries, and requests from other relevant authorities. • Collaborate with key business partners such as Legal, Marketing, Product, Support, and Invest Operations to champion business and compliance initiatives. • Support the day-to-day compliance activities, including the review of customer complaints, marketing materials, referral program, and public communications, to ensure the firm adheres to regulatory, legal and internal policy standards. • Develop risk management strategies and contribute to strategic compliance goals aligned with the firm's mission. • Manage a small team of direct reports. Provide guidance, mentorship, and performance feedback to ensure the success of the compliance program. • Provide compliance insights to the CCO, CEO, and other key stakeholders. • Serve as a role model by embodying and promoting the firm's cultural principles.