• Support the drafting, review, and maintenance of internal compliance policies. • Conduct regulatory research to ensure policies reflect current FINRA and SEC requirements. • Assist in designing policies that balance risk management with operational efficiency and customer experience. • Contribute to a comprehensive policy framework that supports sustainable growth and scalability. • Maintain version control and documentation standards for all policy materials. • Translate approved policies into actionable procedures and operational guidelines. • Support the creation and ongoing updates of Standard Operating Procedures (SOPs). • Ensure internal documentation, including WSPs and knowledge base materials, remains consistent and up to date. • Identify gaps or inconsistencies between policies and operational practices and recommend corrective updates. • Liaise with Product, Operations, Delivery, and other internal teams to ensure policies are operationally feasible and effectively implemented. • Partner with Product teams to ensure system functionality aligns with regulatory requirements and internal policies. • Support internal stakeholders by providing guidance on policy interpretation and procedural application. • Assist in preparing materials and documentation needed for internal reviews or regulatory examinations. • Generally support the senior leaders within the Compliance in the daily administration of the firm’s Compliance Program.