• Conduct and document marketing and advertising reviews for the firm’s broker-dealer, RIA, and activities of our business partners. • Interact with business partners of the firm and provide regulatory guidance and training relating to their website, UI, App, and other marketing materials • Assist with leveraging technology to enhance the automation of compliance • Maintain and enhance compliance policies and procedures to align with evolving regulations and firm practices • Develop proper internal control procedures relating to marketing reviews, business partner compliance, and other areas. • Assist with the development and delivery of compliance training programs for employees • Assist with regulatory filings, audits, and examinations as needed • Analyze and research customer complaints, draft correspondence to regulators and customers, and assist with related filings • Conduct and support risk assessments to identify and mitigate potential compliance, operational, financial, and regulatory risks • Manage and oversee third-party due diligence processes for vendors and business partners • Oversee individual and firm registrations with FINRA and the SEC • Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered Representatives and NRFs" for the broker-dealer • Collaborate with business, legal, and operations teams to maintain consistent compliance practices across all departments.